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 October 24, 2015, FINRA enhanced Request Manager to address feedback from firms, including:

  • enhancements to the system's email notifications to provide more context, FINRA contact information and deep links directly to the request on Firm Gateway; and
  • giving firms the ability to make Partial Submissions for a requested item, which enables firms to send available documents to FINRA while still gathering additional files.

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