Forms

For your convenience, we have compiled below a list of links to all FINRA forms that are available online, alphabetically by topic. You may order hard copies of certain forms.

Advertising Regulation


Questions? Please contact the Advertising/Investment Companies Regulation Department at (202) 728-8330.

BrokerCheck


Central Registration Depository


Questions? Email FINRA's CRD Gateway staff.

Form 211 Filings


In accordance with FINRA Rule 6432, market makers must complete this form to initiate or resume quotations in a non-exchange listed security on a quotation medium. By completing this form, a market maker is representing that it has satisfied all applicable requirements of Securities Exchange Act (SEA) Rule 15c2-11 and the filing and information requirements of FINRA Rule 6432. It is not necessary to file this application if an exemption applies.

Questions concerning the electronic Form 211 may be directed to the OTC Compliance Unit at (240) 386-5100.

Order Audit Trail System (OATS) 


Questions? Email FINRA's Business and Technology Support Services.

Reg T


Reg T is the regulation that governs the extension of credit by and to broker-dealers. 

Questions concerning this form and/or Reg T may be directed to Susan DeMando at (202) 728-8411.

Trading Activity Fee


Find information about the TAF form in NTM 05-23.

Questions? Contact FINRA Finance at (240) 386-5396.

Web Information Request (Web IR)


To request access to Web Information Request (Web IR), please visit the FINRA Entitlement Forms & Confirmation Packet page for the FINRA Entitlement Agreement (NEA), the Web IR Account Administrator Entitlement Form (AAEF) and Modification Form.

Questions? Please contact the FINRA Gateway Call Center at (800) 321-6273.

Web-Based FOCUS


The User Account Acknowledgment Form (UAAF) and the Account Administrator Entitlement Form are no longer available on the Web. To obtain a hard copy of the forms, please call (800) 321-6273.

Questions? Email the FOCUS group.