Request Manager

Request Manager facilitates the electronic exchange of information between firms and FINRA. With Request Manager, which is available via the Firm Gateway, firms are able to securely submit, manage and track FINRA information requests.

On June 24, 2016, FINRA will enhance Request Manager with a new file upload widget. In the next few weeks, FINRA will begin publishing Blue Sheet requests to Request Manager, giving firms the option to respond to Blue Sheet requests via the Request Manager interface.

Learn more about the enhancements.

Resources

Obtaining the Entitlements to Access Requests for Exams and Inquiries

Your firm's Super Account Administrator (SAA) has the ability to grant individuals at your firm the rights to access FINRA applications. To access a specific request, contact your firm's SAA and ask the SAA to grant the appropriate entitlement, as follows.

Exam Request Required Entitlement
Cycle Exams WebIR entitlement
Cause Exam Information Requests entitlement
Advertising Investigation Information Requests entitlement
Market Regulation Inquiries Information Requests entitlement
Corporate Finance Inquiries Information Requests entitlement

If you do not know your firm's SAA, use the following steps to locate your firm's SAA.

1. Go to the Firm Gateway and click the "My Account" link

Firm Gateway

 

2. Click "Applications & Admins" under the "My Account" menu at the top left of the page.

Firm Gateway

 

3. Contact your SAA for the entitlement to access required Exam requests.

Firm Gateway

 

Finding Information Requests

FINRA requests for information are available under the “Information Requests” tab in Firm Gateway. This tab contains Cause and Cycle exams, Advertising, Market Regulation Inquiries, Corporate Finance Inquiries, Bluesheets and Preliminary Investigation requests.

To access information requests - go to the Firm Gateway and click Information Requests Tab.

Firm Gateway