2026 Customer Information Request via FINRA Gateway

On Oct. 7, 2026, FINRA published the 2026 Customer Information Request in FINRA Gateway, asking firms to provide information about their institutional, non-institutional and foreign customers. FINRA requests that firms respond by Nov. 18, 2026.

Overview of the 2026 Customer Information Request – FINRA is requesting that in-scope firms submit information related to their customer base as of Sept. 30, 2026. This request builds upon the 2024 Customer Information Request framework while incorporating new content and functionality enhancements designed to improve the user experience and make the submission process more efficient. For example, the 2026 request will include pre-populated responses from the firm’s 2024 submission, if applicable, and will also include functionality to allow firms to gather responses offline using Microsoft Excel and then upload their responses to the system. These enhancements are described below.

Why FINRA Is Requesting This Information – FINRA takes a risk-based approach to member firm oversight, central to which is understanding each firm's unique business profile, including the types of customers it serves. This understanding allows FINRA to better assess regulatory risks, tailor engagement strategies and deploy resources more effectively—resulting in more focused and efficient interactions grounded in the specific context of each firm's business rather than a one-size-fits-all approach.

How to Access the Request – Each firm’s Super Account Administrator (SAA) controls access to the request in FINRA Gateway. The specific entitlement “Information Request Forms–Submit” will provide access to the 2026 Customer Information Request. If no action is taken, the firm's Super Account Administrator (SAA) will automatically receive the 2026 Customer Information Request and all related notifications. If the firm would like other personnel to complete the request or receive notifications, the SAA must grant the appropriate FINRA Gateway entitlements before Oct. 7, 2026.

• To complete the request, users must be assigned the "Information Request Forms-Submit" entitlement (see FINRA’s website for step-by-step instructions).
• To ensure the appropriate firm personnel receive all related notifications, additional recipients can be added through FINRA Gateway > Admin > Firm Settings > Quest Notifications (see instructions).

2026 Customer Information Request Enhancements – To enhance the user experience and improve efficiency for firms completing this request, FINRA has implemented system enhancements based on member firm feedback.

• Pre-Populating 2024 Responses – Firms that completed the 2024 Customer Information Request will see their responses pre-populated in the 2026 request. Those firms should review and make changes to ensure they reflect current information.
• Excel Enhancement – Firms have the option to download an Excel file containing the information request, circulate it offline to populate responses, and then upload the completed information request to FINRA Gateway. See the user guide for step-by-step instructions.