SEC Rule 605 Authorization Form Access

Process for Accessing Designated Participant Authorization Form

Market centers, brokers and dealers that have selected FINRA as their designated participant to display their identification and links to their disclosure of SEC-Required Order Execution Information (SEC Rule 605) will be required to submit their Designated Participant Authorization Form electronically via FINRA Gateway.

FINRA Gateway Submission

Go to https://gateway.finra.org and use your existing FINRA user ID and password to login. Upon logging in, open the Regulatory Task Catalog to search for the form, complete all required fields and submit.

Entitlements

The Super Account Administrator (SAA) at each firm has the ability to assign user access rights to the ‘Reg - SEC Rule 605 ’ entitlement for the SAA and other firm employees. If your firm has designated an SAA for FINRA systems, contact that individual to change your existing user account or to create a new user account, as necessary. To determine whether your organization has an SAA, log in to the FINRA Gateway, click on My Account and view information from the Applications & Administrators link.

If your firm has not yet named an SAA, your firm must do so to submit a Designated Participant Authorization Form. Instructions regarding how to authorize someone at your firm to serve in this role are available in the Filing & Reporting section of FINRA's website.

If you are not yet familiar with the FINRA Gateway, a brief tutorial is available from the login screen. If you have any difficulties with your FINRA login, please contact your firm's Account Administrator for assistance. For assistance with entitlements, please call the FINRA Support Center at (800) 321-6273.