Web EFT Entitlement Forms
- FINRA Web EFT Participant Agreement/Terms and Conditions: Firms requesting Web EFT access must first complete this form, have it signed by an Authorized Signatory of the firm and then submit it to FINRA. FINRA must have this fully executed form on file prior to processing the Web EFT FINRA Entitlement Form.
- Web EFT FINRA Entitlement Form: This form must be completed to 1) request initial Web EFT access 2) update Web EFT services or cancel a Web EFT subscription, or 3) request, update or delete a Primary or Alternate Web EFT Business and or Technology Contact. Note: Your organization’s FINRA Web EFT Participant Agreement/Terms and Conditions must be on file with FINRA before this form will be processed.
The completed forms must be signed by an Authorized Signatory:
- For Broker-Dealer (BD) firms: An Authorized Signatory is the Chief Compliance Officer (CCO) or authorized officer (or other authorized person) who is listed on Schedule A of the Organization’s current Form BD.
- For Investment Adviser (IA) firms: An Authorized Signatory is the CCO or Additional Regulatory Contact (ARC) who is listed on the current Form ADV.
Firms with Special Circumstances for an Authorized Signatory:
If your firm is unable to meet the Authorized Signatory requirements noted above, complete the Special Circumstances Signature section of the form indicating which of the following reasons apply:
- BD firms: The signatory is a sole proprietor or the only person listed on Schedule A of the firm’s current Form BD.
- IA firms: The signatory is a sole proprietor or the only person listed as a CCO or ARC on the firm’s current Form ADV, or the only person listed on Schedule A of the firm’s current Form ADV and authorized to execute agreements for the organization
In all other situations, not listed above, a detailed explanation is required on the form with verification by FINRA before any Web EFT account will be created or updated.
The completed forms must be submitted to FINRA by mail, email or fax.
FINRA Entitlement Group
9509 Key West Ave
Rockville, Maryland 20850
Questions? Contact the FINRA Gateway Call Center at 301-869-6699 or send an email.