The FINRA Entitlement Program provides a secure way for firms to access many of the web-based applications, materials and services they use with a single user ID and password.
FINRA's 2022 Entitlement User Account Certification Process
Entitlement Certification Period—Organizations With Super Account Administrators (SAAs)
FINRA's User Accounts Certification Process for Super Account Administrators (SAAs) is scheduled for June 1 – August 31. During this period, SAAs for firms with more than one user and/or administrator account must certify that authorized users are only entitled to those privileges/roles necessary to perform their job responsibilities on the FINRA Entitlement platform. If an individual no longer requires access, remove the appropriate entitlement(s) or delete their account.
Organizations with only an SAA account and no other users or administrators have the option to certify, but are not required, unless the firm has access to the Consolidated Audit Trail (CAT). Firms with one or more accounts with access to CAT must certify.
To learn more about the SAA’s role and responsibilities, please consult the following resources:
Following are links to additional information regarding the FINRA Entitlement Program:
- Password Requirements
- Systems/Applications Information
Forms & Confirmation Packets
- SAA Entitlement – Access the New Organization SAA Form to designate an SAA for your new firm and review instructions for replacing/updating an SAA, as well as information pertaining to the annual FINRA Entitlement user accounts certification process.
- SAAs are responsible for creating and maintaining account administrator and user accounts for their firms. If you do not know who the SAA is at your firm, log in via the Firm Gateway, click on My Account and view information on the Applications & Administrators tab.
- FINRA Entitlement Program Certification Representative (CRep) Designation Form – Applies to organizations without an SAA
- Entitlement Information for FTP/IFT Users – Applies to File Transfer Applications
- Entitlement Information for Service Providers – Applies to File Transfer Applications
- Investment Adviser Entitlement Forms & Information – Applies to the Investment Adviser Registration Depository (IARD) System