FINRA Entitlement Systems/Applications Information

The first step to getting started on an application residing on the FINRA Entitlement platform is setting up a User Account via a process called Entitlement. The Entitlement Process encompasses FINRA systems on the FINRA Entitlement platform that FINRA owns and operates as a private sector regulator and systems that FINRA operates on behalf of other regulators. Becoming entitled grants your firm access to one or more of the following secure systems residing on the FINRA Entitlement platform:


Information on

Login to a System/Application:

2711 - Annual Attestation of Compliance

Dispute Resolution Applications:

FINRA Contact System (FCS)


New Member Application

Order Audit Trail System (OATS)

Certification Test Environment (CT)


Production Environment (PD)

Regulation Filing Applications

Report Center


FINRA and SEC use only