1. I locked my account by mistyping my password several times. How can I unlock it?
Your account will automatically unlock after approximately one hour. At that point, you can try to enter your password again, or you can click on the “Forgot User ID or Password?” link and ask for your password to be reset. You will receive an email with a temporary password that you can use to sign in to your account and then change your password. If you cannot wait for your account to unlock automatically, you can contact the FINRA Gateway Call Center at 301-590-6500 to request a password reset.
2. What are the software requirements for using PDF documents and forms?
Adobe Acrobat Reader is needed to view PDF documents and complete PDF forms. You can get this free software at https://get.adobe.com/reader/. You should uncheck the optional offers if you do not want them, then click on "Install now" and follow the instructions. Once installed, you should make sure that your computer defaults to opening PDF documents using Acrobat Reader. You can find more information about making Adobe Reader the default PDF viewing program here: https://helpx.adobe.com/acrobat/kb/cant-open-pdf.html
3. I have had Adobe Acrobat Reader on my computer for a long time, yet it doesn't seem to work properly. Is there something I can do?
Locate the Acrobat Reader program on your computer and open the program. Click on the Help menu at the top of the Acrobat Reader window. Select "About Acrobat Reader" from the menu options. A window will appear that displays the version. If it is older than version 10, you should download a current version and install it on your computer. Older versions of Acrobat Reader may have difficulty with some forms.
4. I have a Mac computer and it seems to open PDF forms just fine. Do I need Adobe Acrobat Reader?
Yes. Apple computers come with a program called "Preview" that can open PDF documents and forms, however there is a known problem with completing and saving PDF forms using this program. You should NOT use Preview to complete PDF forms, as it will cause the information to be unreadable to FINRA staff and other Portal users that are using Acrobat Reader.
5. I don’t see the link to the Oath of Arbitrator PDF form on the portal. Where did it go?
We replaced the Oath of Arbitrator PDF form with a fill-in form found in the Drafts & Submissions tab of your case on the portal, or by pressing the red “Submit Documents” button. Just choose “Oath of Arbitrator” as the Submission Type and click the red Start button to open the form. Answer all of the questions and then press the Submit button at the end.
6. I completed a PDF form and sent it to FINRA, but staff says that the form is blank. What went wrong?
When you click on a link to open a PDF form, your Windows computer will usually open the form inside your browser. Mac computers usually use the included "Preview" program to open the form. Browsers and Mac Preview typically do NOT properly handle PDF forms. Some of them will let you enter information into the form, but then won’t save it.
The best way to avoid difficulty with PDF forms is to install the free Adobe Acrobat Reader program that can be found at https://get.adobe.com/reader/ Save the blank PDF form to your computer and close your browser. Then open the blank saved form using Acrobat Reader, enter your information on the form, save your completed form back to your computer, and then close the form. Now you can submit the completed form through the Portal using the red "Submit Documents" button of the respective case. You can find more information about making Adobe Reader the default PDF viewing program here: https://helpx.adobe.com/acrobat/kb/cant-open-pdf.html
7. I submitted an update to my profile and I see the confirmation message, but how do I get out of the Update form and back to the Portal? The form used to open in a separate browser tab, but it no longer does that.
The "Update Profile" form now opens in the same browser tab as the Portal (instead of opening in a separate browser tab) to resolve reported issues with browser pop-up blockers. After you submit your profile update (or if you want to exit the form before submitting changes), click on the “Back to DR Portal” link added to the top-right corner of the form.
8. There is a disclosure I want to remove from the Conflicts/Disclosures section of my profile, but I don't see a delete button. How do I remove it?
You cannot delete disclosures from your profile through the portal. Instead, you can request it be made inactive by Neutral Management staff. Open the Neutral Update form by clicking on the red Update button. A new tab will open in your browser showing the update form (make sure your pop-up blocker is disabled in your browser). Go to the Conflicts/Disclosures page of the form and click on the specific disclosure you want to remove. A window will pop up showing the details. Click on the "Make Inactive" check box and click on the Update Row button. Perform any other needed updates on your profile (such as affirming your arbitrator classifications), then go to the Review and Submit page at the end of the form and click on Submit. Neutral Management staff will review this request to make this disclosure inactive.
9. I registered in the DR Portal on the FINRA.org website. When I try to log in, however, I receive a message that I am not registered. Is there another step I need to take to access the DR Portal?
Just creating an account is not enough to get into the DR Portal. To complete your registration, you must receive a personalized invitation from FINRA. You can send an invitation request to FINRA's department of Neutral Management. After you open the link in the invitation, log in using the account you created previously and answer the additional security questions.
10. I was told that I need to update my email address through the portal, which I did, but I continue to receive mailings to my old email address. How can I update my email address?
After you log into the DR Portal, select the "manage my account" link from the left-hand menu. After you update your email address, click the "save" button and confirm that your data has been saved. Before logging out, you must navigate back to the Dispute Resolution Portal under "My applications" to effect his change. Your email address will not be updated in your profile if you do not complete this important, final step.
11. Can I show a draft form to the other panelists on my case?
Yes. On the Drafts & Submissions tab, press the “Share” button located next to each of your draft forms. When you press this button, your draft form will be visible on the other panelists’ portals on this case in the “Shared Draft Submissions” section of this page. The other panelists will receive an email notifying them that you have shared a draft form with them. The “Share” button will change to “Unshare” that you can press to stop sharing your draft form. Other panelists cannot edit your draft form, they can only view it. If they have comments about your draft, they will have to communicate with you directly. If you make additional edits to your draft and save them, the other panelists will have to refresh their browser page to see your latest edits.
12. I see a form I submitted with a status of “Rejected”. What does that mean?
All of the “Order” forms have an additional feature: The ability for a form to be sent back to the Portal by FINRA staff when there is missing information or staff requires clarification. You will receive an email from staff notifying you that the form was returned and noting the problem they are having. You can find the form in the Drafts & Submissions tab of the case with a status of “Rejected”. Just select the Tracking Number to go into the form. Your previous entries will still be there. Just make whatever changes are needed and press the Submit button again.
13. I have some suggestions for possible changes to the DR Portal I'd like to pass along. Is there a way to do that?