FINRA Entitlement Program – Super Account Administrator
The FINRA Entitlement Program requires that each organization designate a Super Account Administrator (SAA). The SAA is entitled as an administrator to all applications participating in the FINRA Entitlement Program that are available to the organization. An organization’s SAA is able to create and remove account administrators and user accounts for all participating applications and set access for these individuals. If an SAA needs to be able to use the participating systems to perform specific job responsibilities at the organization then the SAA must set his/her own entitlement (i.e., self-entitle) access. SAAs are responsible for maintaining accounts by ensuring access is required and appropriate for users and the timely deletion of accounts when access is no longer needed. SAAs at firms with more than one user are required to complete an annual online certification process of all their users.
For security reasons, only one SAA may be designated per organization ID #. Firms with affiliates may designate the same SAA for each affiliate or a different one; however, each affiliate (with its own Org ID #) must provide a signed SAA Entitlement Form.
New Organization SAA Entitlement Form & Instructions - Use this form to designate an SAA when your organization is new and requires access to the FINRA Entitlement Program. This form has specific instructions and signature requirements noted in the form which must be met for processing.
Once FINRA processes the New Organization SAA Form and creates the SAA account, a confirmation email will be sent to the Authorized Signatory who signed the form and to the SAA. The new SAA will receive two emails: one with his/her user ID and one with the temporary password. Both emails will have a link to the FINRA Entitlement Web page.
If your firm needs to replace the SAA or update the name or email address of the current SAA, an Authorized Signatory from your firm must contact the Gateway Call Center to request an Update/Replace SAA Form. FINRA will only process the request from an Authorized Signatory. The form will be sent to the Authorized Signatory contact information on file at FINRA.
FINRA confirms the Authorized Signatory with information on the Form BD or Form ADV. In addition, the email address provided by a firm’s Authorized Signatory must match the email address that is currently filed in CRD, IARD, or on the FINRA Contact System. FINRA will suspend all accounts if information does not match or is not verifiable.
FINRA confirms that a request was made by an Authorized Signatory before providing the firm with an Update/Replace SAA Form. Each form is coded with a unique identifier which is required for processing.
Requests are made by contacting the Gateway Call Center:
Each year, FINRA designates a 30-day period during which SAAs of organizations with more than one user must certify their user's access to comply with FINRA's Entitlement User Accounts Certification Process. This process provides a formal review of all user accounts in the FINRA Entitlement Program administered by an SAA.
For detailed information, refer to the Annual Entitlement User Accounts Certification Process Web page.
The first time users log onto a FINRA Entitlement Platform, they will be required to change their temporary password, and select three security questions and provide a response to each question. For additional information, refer to the answers to frequently asked questions.
For questions about the FINRA Entitlement Program or the SAA role, contact the Gateway Call Center: