Financial Industry Regulatory Authority (FiNRA) Forms
The Financial Industry Regulatory Authority (FINRA) is an independent regulatory organization that oversees securities firms operating in the United States. It is authorized by the U.S. government to regulate brokerage firms and their registered representatives, and to protect investors by enforcing compliance with financial rules and regulations. FINRA aims to ensure the fairness and integrity of the financial markets by setting industry standards, conducting regulatory examinations, and enforcing disciplinary actions when necessary. It also provides investor education and resolves disputes through mediation and arbitration processes.
Documents:
20
PDF 
Word
This Form is used for applying to continue as a member in an organization or association.
This Form is used for reporting revenue information.
This document is an agreement used by the Financial Industry Regulatory Authority (FINRA) that outlines the entitlements and privileges granted to members of the financial industry.
This form is used for obtaining consent from a custodian for various purposes, such as granting access or releasing information.
This Form is used for individuals to apply for registration in the securities industry or to transfer their registration to a new employer.
This form is used for reporting disciplinary issues involving an arbitrator. It is a formal referral that initiates an investigation into alleged misconduct or violations of the code of conduct by an arbitrator.
This type of document is an order issued by a court granting a permanent injunction. It prohibits someone from taking certain actions or requires them to do something specific.
This Form is used for requesting access to wireless internet. It allows individuals to submit their request for a wireless internet connection.
This document is an agreement that is used for submitting disputes to arbitration with the Financial Industry Regulatory Authority (FINRA). It outlines the terms and conditions that parties agree to follow when resolving their disputes through FINRA's arbitration process.
This document is used for participating in a mediation program for small arbitration claims. It is a submission agreement that outlines the terms and conditions of the mediation process.
This Form is used for notifying the termination of securities industry registration.
