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FINRA Entitlement Program

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Printer-Friendly Last Updated: 2/15/08 FINRA Entitlement Program

The FINRA Entitlement Program provides a secure way to access participating Web-based systems with a shared entitlement service. This service provides authorized users the ability to access these systems with a single FINRA User ID and Password. Currently, there are more than 20 FINRA applications available via this shared entitlement platform and more applications will be added in the future.

There are resources offered on this page regarding the FINRA Entitlement Program and the tools and systems available to both Account Administrators and system users.

Help and Training on Entitlement

Provided on the Entitlement Help and Training page are Call Center phone numbers, links to job aids, answers to Frequently Asked Questions (FAQs) about FINRA Entitlement, an online training tutorial, and other resources available to Account Administrators and users to familiarize them with the features of the FINRA Entitlement Program.

 Systems/Applications Information

The following systems/applications are participants in the FINRA Entitlement Program:

 

Information on Systems/Applications:	Login to a System/Application:
2711 - Annual Attestation of Compliance	http://www.finra.org/regnotes2711
IARD	https://crd.finra.org/iad
FINRA Contact System (FCS)	https://regfiling.finra.org/contacts/ncs_contacts.aspx
Report Center	https://reportcenter.finra.org
New Member Application	http://www.finra.org/OnlineFormNMA/
Order Audit Trail System (OATS)	Certification Test Environment (CT)  https://oatstest.finra.org/   Production Environment (PD) https://oats.finra.org/
Online Dispute Resolution (Online DR)	https://forms.finra.org/ADR/LoadForm.aspx
Regulation Filing Applications	https://regfiling.finra.org
Surveillance	FINRA and SEC use only:
Web CRD	https://crd.finra.org
Web Information Request (Web IR)	https://forms.finra.org/nep

Checklist for Organizational Change: Mergers, Acquisitions, and Successions

If your firm is undergoing an organizational change, it may affect the ways in which you interact with FINRA, such as your membership application and system-related privileges. In order to make your firm's transition easier, we have compiled a checklist of steps to consider.

Questions about FINRA Entitlement? 

Contact the Gateway Call Center: 

• FINRA Member & Non-member Firms: (301) 869-6699
• Investment Adviser (IA) Firms: (240) 386-4848