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.