FINRA Entitlement Program

The FINRA Entitlement Program provides a secure way for firms to access many of FINRA’s Web-based systems with a single user ID and password.

 

The Entitlement Program includes a Super Account Administrator (SAA) role that allows firms to create, modify and delete account administrator and user accounts for FINRA applications. Individuals at firms must contact their SAA for access to most FINRA systems. See Information Notice 3-24-10 for more details.

 

2014 FINRA Entitlement User Accounts Certification Period Ended February 12

The 2014 FINRA Entitlement User Accounts Certification Period concluded on Feb. 12, 2014. SAAs for firms with more than one user who have not yet certified should do so immediately. The ability to create, edit and clone accounts has been disabled and will remain so for firm administrators until certification is complete. For detailed information, refer to the Annual Entitlement User Accounts Certification Process Web page.

 

New Entitlement Privileges for Web CRD/IARD

As of October 28, 2013, new entitlement privileges were added to Web CRD/IARD as additional safeguards to viewing sensitive or confidential data. Please review the entitlement privileges page to learn how these new privileges impact SAAs, AAs and users of Web CRD/IARD.

 

New FINRA Login Security Feature

Effective July 20, 2013, the first time users log onto a FINRA Entitlement system/application, they will be required to select three security questions and provide a response to each question. For additional information, please view the full announcement regarding this security feature, refer to the answers to frequently asked questions and the user guide.

 

Following are links to additional information regarding the FINRA Entitlement Program:

For questions, contact the Gateway Call Center:

  • Broker-dealer firms: (301) 869-6699
  • Investment adviser firms: (240) 386-4848