FINRA Entitlement Program Announcements

2014 Entitlement User Accounts Certification Period Ended Feb. 12

The 2014 FINRA Entitlement User Accounts Certification Period concluded on Feb. 12, 2014. Super Account Administrators (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 application or system (e.g., Web CRD, IARD, Report Center), they will be required to select three security questions and provide a response to each question. On subsequent logins, users may be asked to provide the responses to their security questions to further verify their identity. All users (Super Account Administrators, account administrators and users) who access FINRA Entitlement applications must comply with this new security process. Please note that this new security feature does not apply to file transfer protocol (FTP) accounts. This new security feature provides an additional level of security to FINRA's Entitlement applications. For detailed information about this new security feature, review the answers to frequently asked questions.

 

Checklist for Organizational Change: Mergers, Acquisitions, and Successions

If your firm is undergoing an organizational change, it may affect the ways in which you interact with FINRA, such as your membership application and system-related privileges. In order to make your firm's transition easier, we have compiled a checklist of steps to consider.