FINRA Firm Gateway - Exam Requests

Obtaining the Entitlements to Access Exam Requests

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 exam request, contact your firm's SAA and ask the SAA to grant the appropriate entitlement, as follows.

Exam Request Required Entitlement
Cycle Exams WebIR entitlement
Cause Exam Information Requests entitlement
Advertising Investigation 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 Your Cycle Exam Requests

1. Go to the Firm Gateway and click the Forms and Filings tab.

2. Select Onsite Exams WebIR.

3. Click "Open" on the right.

4. Click on the "Records Request" link in the left-hand navigation. The system will display list of cases.

Finding Your Cause Exam and Advertising Investigation Requests

1. Go to the Firm Gateway and click Forms and Filings tab.

2. Select Information Requests.

3. Click "Open" button. The system will display list of requests. 

More Information

For more information please refer to the Reference Guide or contact the FINRA Call Center at (301) 869-6699.