FINRA Systems

The first step to getting started on an application residing on the FINRA Entitlement platform is setting up a User Account via a process called Entitlement. The Entitlement Process encompasses FINRA systems on the FINRA Entitlement platform that FINRA owns and operates as a private sector regulator and systems that FINRA operates on behalf of other regulators. Becoming entitled grants your firm access to one or more of the following secure systems residing on the FINRA Entitlement platform:

Information on a System/Application: Login to a System/Application:
2711 - Annual Attestation of Compliance
Arbitration Online Claim Filing Form
DR Portal
Online Arbitrator Application Form
FINRA Contact System (FCS)
Register a New Broker Dealer Firm (New Member Application)
Order Audit Trail System (OATS)

Certification Test Environment (CT)

Production Environment (PD)

Regulation Filing Applications
Report Center
Surveillance FINRA and SEC use only