Form Filing Scenarios User Support
These IA Representative (RA) Form Filing Scenario documents are intended to provide general operational guidance on filing scenarios and are not intended to replace the guidance provided by a firm’s registration, compliance, and legal departments. The firm is solely responsible for executing the correct filing for a given registration request. FINRA is not responsible for any errors that may be present in the document. The materials are not a substitute for official FINRA communications or member firm policies and procedures and should in no way be relied upon as such.
You may view and print the Form Filing Scenarios separately by your firm type or select the last link to print all three Form Filing Scenarios at once.
- Scenarios for Broker/Dealer-only Firms (PDF 14 KB)
- Scenarios for Investment Adviser-only Firms (PDF 13 KB)
- Scenarios for Joint B/D - IA Firms (PDF 18 KB)
- Entire IA Representative (RA) Form Filing Scenarios (PDF 32 KB)