Information Notice 10/28/11

FINRA Entitlement User Account Certification

Executive Summary

FINRA is introducing a mandatory annual online certification process for the FINRA Entitlement Program. Super Account Administrators (SAAs) for organizations with more than one user must certify that users are entitled only to those applications and privileges necessary to perform their job responsibilities. During the fourth quarter of each year, beginning this year, FINRA will designate a 30-day period during which SAAs must review their organizations’ user accounts and complete the certification.

 

Questions concerning this Notice should be directed to Mary Ann Shaw, Senior Director, Information Operations, at (240) 386-4806.

 

Questions regarding the SAA or Entitlement Program should be directed to the Gateway Call Center at (301) 869-6699.