Request Access to FINRA Systems
- Request Access via Super Account Administrator (SAA) Form
Broker-Dealers, Capital Acquisition Brokers (CABs), Funding Portals, Investment Advisers, Private Fund Advisers, Regulators and Service Providers
- Create Your Own Account (Register New User)
Dispute Resolution (DR) Portal, Financial Professional Gateway (FinPro), SIE Voucher, Enrolling for an Exam (TESS), and Uniform Practice Code (UPC) Company-Related Notification Forms for Corporate Actions and Dividends
- Secure File Transfer Applications (Machine-to-Machine)
Web EFT, OATS, Shorts, Blue Sheets, ATS, REG M File Transfer, IFDF File Transfer and Rex File Transfer
- Trade Reporting Facilities
TRACE, ORF and ADF
Request Access via SAA Form
The following information applies to Broker-Dealers, Capital Acquisition Brokers (CABs), Funding Portals, Investment Advisers, private fund advisers, regulators and service providers
These entities must submit the appropriate New Organization Super Account Administrator (SAA) Form to gain access to FINRA-administered systems they require. Once FINRA validates that the form is complete and accurate, an account for the organization’s designated SAA is created and granted administrator access to all of the relevant systems on the FINRA Entitlement Platform.
FINRA only creates SAA accounts for these organizations. The SAA is then responsible for creating other administrator and user accounts as appropriate for firm personnel. Additionally, SAAs should grant themselves appropriate user access as necessary.
The relevant system applications are accessible via Firm Gateway.
Note: The following forms must be requested by phone:
- SAA Forms for Services Providers
- Forms to update/modify or replace the organization’s SAA account
Create Your Own Account (Register New User)
The following information applies to DR Portal, FinPro, SIE Voucher, Enrolling for an Exam (TESS) and UPC.
These systems permit users to create their own credentials through the “Register New User” link on the system login page.
One set of credentials can be used to log in to any of these systems; however, additional authorization may be required to fully access and use a given system’s features.
Learn more on the following pages:
- Dispute Resolution Portal (certain features require an access invitation)
- FinPro (access limited to individuals with an individual CRD number and a US SSN)
- SIE Voucher (organizations can purchase vouchers to provide to individuals)
- Enroll for an Exam (TESS)
- Uniform Practice Code (UPC) - (company-related notification forms for corporate actions and dividends)
Secure File Transfer Applications (Machine-to-Machine)
The following information applies to Web EFT, OATS, Shorts, Blue Sheets, ATS, REG M File Transfer, IFDF File Transfer and REX File Transfer.
Certain systems permit the creation of credentials to secure file transfer applications. Learn more about how to submit account requests on the pages below:
- Entitlement Information for FTP/IFT Users - Please review the instructions for more information, and allow approximately four business days for an FTP/IFT user account to be processed. For questions or to request an Entitlement Form, contact the Gateway Call Center at (301) 869-6699.
- Web EFT (The New Subscriber Packet contains required forms and information.)
Trade Reporting Facilities
The following information applies to TRACE, ORF and ADF.
FINRA operates systems that help member firms comply with reporting requirements and facilitate transparency in the applicable markets. System access requests must be made by submitting the FINRA Transparency Services Participation Agreement (FPA) and other required forms. The organization’s SAA is then responsible for creating other administrator and user accounts as appropriate for firm personnel. Additionally, SAAs should grant themselves appropriate user access as necessary.