FINRA Entitlement Program Announcements

New Super Account Administrator (SAA) Forms

Two new Super Account Administrator forms were created to replace the previous SAA Form.
 

  • The New Organization Super Account Administrator (SAA) & FINRA Entitlement Agreement (FEA) Form Version 1, effective 11/19/2014, must be used when a new organization is first requesting FINRA Entitlement and needs to designate its SAA. This form is available on the FINRA website.
     
  • The Update/Replace Super Account Administrator (SAA) & FINRA Entitlement Agreement (FEA) Form Version 1, effective 11/19/2014, must be used to replace an SAA or update information such as the name or email address of the current SAA. An Authorized Signatory from your organization needs to request the Update/Replace SAA Form by contacting the Gateway Call Center at (301) 869-6699. The form will be sent to that Authorized Signatory’s contact information on file with FINRA.

 

Note: Previous versions of the SAA Entitlement Forms are obsolete and will not be accepted.

 

Investment Adviser firms that already have access to the FINRA Entitlement Program and have yet to file their initial ADV, must complete the New Organization SAA Form to replace their SAA.

 

New Signatory Requirements and Special Circumstances for SAA Forms


The New Organization SAA Form and the Update/Replace SAA Form have specific instructions and signature requirements which must be met for processing. The forms must be signed by an Authorized Signatory and may not be self-signed unless specific requirements are met as documented on the forms.