This page includes links to information that will provide users of PFRD with guidance regarding the PFRD system and making electronic filings.
PFRD System Reference Tools & Job Aides
Form PF Schema Files
The ZIP file below provides sample Form PF XML files and explanatory information. These documents are updated periodically to reflect changes made to the Form PF form filing schema.
Form PF filings submitted via XML upload must also comply with the completeness checks and business rules applied to the Web form version of Form PF.
PFRD Web Services Accounts (create account or modify access)
PFRD User Testing
- PFRD Web Services Entitlement Form (PDF 62 KB): If your firm is required to file the Form PF and prefers to submit the Form PF via data file transfer (i.e., machine-to-machine), you should establish a web services account with FINRA using this entitlement form. Due to the unique environment for data file transfers, only FINRA can create or modify web services accounts—Super Account Administrators or Account Administrators cannot create or modify this type of account. Please complete the form and submit it to the FINRA Entitlement Group. Allow approximately four business days for processing new accounts.
Note: Super Account Administrators may entitle persons to file Form PF using the Web form or XML submission within PFRD. The PFRD Web Services Entitlement Form is only required for machine-to-machine XML submissions.
If you are a Form PF filing firm and would like information on accessing a test environment to submit test filings prior to making your production Form PF submissions, contact FINRA’s PFRD Support Team at PFRDSupport@finra.org. Please include your name and firm CRD number.
PFRD Other Helpful Information
Contact Information for Help with PFRD
Questions regarding Form PF filing requirements or policy issues should be directed to the SEC at (202) 551-6999 or FormPF@sec.gov.
Technical questions regarding the PFRD system should be directed to FINRA at (240) 386-4848 or PFRDSupport@finra.org. If you are inquiring about errors with your filing, please include the firm’s CRD number and the user ID being used.
For FINRA Entitlement questions, contact the FINRA Entitlement Group, at (240) 386-4185.