Request Manager facilitates the electronic exchange of information between firms/individuals and FINRA. With Request Manager, which is available via the Firm Gateway and its designated portal, firms and individuals are able to securely submit, manage and track FINRA information requests.
Learn more about the features.
- Webex Presentation: File Upload Widget
- Webex Presentation: Request Manager Email Enhancements
- Webex Presentation: Request Manager Partial Submissions
- Important Changes to Request Types – Beginning January 11, 2020
- Request Manager New Feature: Respond to Non-Firm Requests
How to Respond to Requests Published to the Member Firm
Obtaining the Entitlements to Access Requests for Exams and Inquiries
Your firm's Super Account Administrator (SAA) has the ability to grant individuals at your firm the rights to access FINRA applications. To access a specific request, contact your firm's SAA and ask the SAA to grant the appropriate entitlement, as follows.
|Request Type||Required Entitlement|
|Cycle Exams||WebIR entitlement|
|Cause Exam||Information Requests entitlement|
|Advertising Investigation||Information Requests entitlement|
|Market Regulation Inquiries||Information Requests entitlement|
|Corporate Finance Inquiries||Information Requests entitlement|
|Department of Enforcement||Information Requests entitlement|
If you do not know your firm's SAA, use the following steps to locate your firm's SAA.
1. Go to the Firm Gateway and click the "My Account" link
2. Click "Applications & Admins" under the "My Account" menu at the top left of the page.
3. Contact your SAA for the entitlement to access required Exam requests.
Finding Information Requests
FINRA requests for information are available under the “Information Requests” tab in Firm Gateway. This tab contains Cause and Cycle exams, Advertising, Market Regulation Inquiries, Corporate Finance Inquiries, Bluesheets and Preliminary Investigation requests.
To access information requests - go to the Firm Gateway and click Information Requests Tab.
How to Respond to Requests Published to Non-Firm Requests
Register an Individual User Account to Use Request Manager Portal
If you have already created a FINRA Self-Registered account associated with the email address that you received the email notification, you can log in to the Request Manager Portal by using the link provided in your email notification from FINRA Information Requests.
Otherwise, by clicking on the “Register New User” link on the Request Manager Portal sign in page, you will be able to create a FINRA Self-Registered user account to access the Request Manager Portal. Note that in order to access the requests you are participating in, you must register your account using the email address you received the email notification from FINRA Information Requests in order to complete the registration process. You cannot use any existing FINRA Member Firm account to access.
Finding FINRA Requests Published to You
Upon log into the Request Manager Portal by using the account registered using your email address which received the FINRA notification, you should see all requests that FINRA has published to you. More information about how to use Request Manager can be found in Request Manager User Guide and Request Manager New Feature: Respond to Non-Firm Requests.