The Entitlement Process:
The first step to getting started on an application residing on the FINRA Entitlement platform is setting up a User Account via a process called Entitlement. The Entitlement Process encompasses FINRA systems on the FINRA Entitlement platform that FINRA owns and operates as a private sector regulator and systems that FINRA operates on behalf of other regulators. Becoming entitled grants your firm access to one or more of the following secure systems residing on the FINRA Entitlement platform:
Entitlement to any of the FINRA Entitlement applications requires firms/organizations to complete the appropriate Entitlement Forms.
FINRA Entitlement Forms:
Please ensure you use the current versions of the Entitlement Forms provided on this page. Previous versions of the Entitlement Forms are obsolete and will not be processed.
FINRA Processing Time
Please allow approximately two business days from receipt of non-deficient Entitlement Forms for processing.
FINRA Entitlement Agreement (FEA) - This form is the Agreement that firms must submit based upon criteria provided on the form. Each firm must have an FEA on file in order to process a FINRA Entitlement request.
Account Administrator Entitlement Forms (AAEF) - This form is used to designate an individual as an Organization's Primary, Alternate or Replacement Primary Account Administrator (AA) for a participating FINRA Entitlement Program application.
FINRA Entitlement Modification Forms - This form is used to modify information for an Organization's Account Administrator including personal data or privileges; disable an account; or, delete access to a specific application for an Organization's AA. It should also be used when an Organization's AA needs to request updates to another Account Administrator at the Organization.
FINRA Entitlement Confirmation Packet - Once FINRA processes your firm's Entitlement Forms, FINRA will contact each Account Administrator with his/her User ID and Password and will send him/her a confirmation email with the URL(s). The email contains attachments with detailed information to assist your AA and your organization as a FINRA Entitlement Program participant.
Investment Adviser IARD Entitlement Forms & Packets - Provided on this page are the forms and packets for Investment Adviser firms that need access to IARD and/or Web CRD. Also provided are the IA Modification Forms that are used to modify information for an IA Firm's Account Administrator including personal data or privileges, disable an account, or delete access to a specific application for an IA Firm's AA. These entitlement modification forms should also be used when an IA firm's AA needs to make updates to another AA at the firm.
FINRA Entitlement Program Agreement and Terms of Use
Questions regarding the Entitlement Forms or process should be directed to the Gateway Call Center at (301) 869-6699 (broker-dealer firms) or (240) 386-4848 (investment adviser firms).
