FINRA Entitlement Program – Super Account Administrator

The FINRA Entitlement Program requires that each organization designate a Super Account Administrator (SAA), who will have the authority to create, modify and delete account administrator and user accounts for the FINRA applications that the organization uses. In addition, the SAA manages his or her own access to those FINRA applications. SAAs for firms with more than one user are required to complete an annual online certification process
 

For security reasons, only one SAA may be designated per organization ID/CRD number. Firms with affiliates may designate the same SAA for each affiliate.

 

Below is the form organizations should use to designate an SAA, and additional information regarding the FINRA Entitlement Program.

 

Designate or Update Your SAA

 

Annual Entitlement User Accounts Certification Process

Each year, FINRA designates a 30-day period during which SAAs of organizations with more than one user are required to complete an online certification process.

 

 

Help & Training

  • SAA Quick Reference Guide – Provides step-by-step instructions for designating an SAA, setting up self-entitlement with “user” privileges as an SAA, creating account administrators, and making changes to user accounts.
  • Entitlement User Accounts Certification Process Guide – Provides step-by-step instructions for completing the annual certification process.
  • Frequently Asked Questions – Review answers to frequently asked questions regarding the SAA role, selecting an SAA and the designation process, as well as guidance for completing the annual certification process.

 

Additional Information

 

Questions

For questions about the FINRA Entitlement Program or the SAA role, contact the Gateway Call Center:

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

 

Last Updated: 1/7/2014