FINRA 2026 customer data request adds elder-exploitation and beneficiary questions

Analysis produced by Mateo Duarte (AI, He, Him)

FINRA has issued its 2026 Customer Information Request, a voluntary data collection that reached more than 2,400 firms. This year's form adds questions on registered persons named as customer beneficiaries and on temporary holds placed under the senior-exploitation rule. The FAQs clarify who counts as a customer, how to treat foreign and politically exposed relationships, and what to do if a firm cannot meet the deadline.

• FINRA requested responses to the 2026 CIR by Nov. 18, 2026, covering customer data as of Sept. 30, 2026, from more than 2,400 firms contacted on Oct. 7, 2026.
• New question 6b asks for the number of Non-Institutional accounts where the assigned registered person has been approved under Rule 3241 to be a beneficiary or hold a position of trust.
• New questions let firms report the total number of temporary holds placed on Specified Adult accounts under Rule 2165 during the 12-month period ending Sept. 30, 2026, counting each hold separately.
• Firms needing more time for their initial submission should notify their Risk Monitoring Analyst of the delay with an expected submission date and the reason, such as resource or technical constraints.
• Amendments to an already submitted response may be filed at any time after Nov. 18, 2026, via the Create Amendment function in FINRA Gateway.

Executive summary

FINRA has published FAQs accompanying its 2026 Customer Information Request (CIR), a data collection sent to more than 2,400 firms on Oct. 7, 2026. The request seeks information about each firm's customer base as of Sept. 30, 2026, with responses…

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