arbitration and mediation case participants and finra neutrals can view case information and submit documents through this dispute resolution portal. the new account application template is a voluntary model brokerage account form that is provided as a resource to firms when they design or update their new account forms. in developing the template, finra worked with a firm that specializes in presenting investor information in a clear, intuitive format to assist in the design of the application form. some of the significant features of the template include: this voluntary template can be customized, so that firms can modify the form to meet their own branding, business practices and operational requirements.
this voluntary template is intended to serve as an example of the type of application that brokerage firms may provide to their customers. firms are under no regulatory obligation to use either version of the template, in whole or in part. finra recognizes that firms may continue to use their proprietary application forms, methods and processes, as long as they meet all applicable regulatory requirements. in that regard, you might need to tailor the new account application template to fit your particular firm’s situation.
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