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	https://firms.finra.org/2711
DR Portal	https://DRPortal.finra.org
Financial Industry Networking Directory (FIND)	http://testenrollment.finra.org/sie
Financial Professional Gateway (FinPro)	https://finpro.finra.org/
FINRA Contact System (FCS)	https://gateway.finra.org/app/contacts/
Funding Portal Registration Depository (FPRD)	https://firms.finra.org
IARD	https://crd.finra.org/iad
Information Requests	https://gateway.finra.org/app/work-management
Online Arbitrator Application Form	http://www.finra.org/BecomeAnArbitrator/OnlineApplication
Public Offering System	http://www.finra.org/publicofferingsystem/login
Register a New Broker Dealer Firm (New Member Application)	http://www.finra.org/OnlineFormNMA/
Regulation Filing Applications	https://firms.finra.org/forms
Report Center	https://gateway.finra.org/reportcenter/home
Surveillance	FINRA and SEC use only
Test Enrollment Services System (TESS)	http://www.finra.org/enroll
Uniform Practice Code (UPC)	https://www.finra.org/upc/forms
Web CRD	https://crd.finra.org