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FINRA Entitlement Program

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Printer-Friendly Last Updated: 6/24/08 FINRA Entitlement Program

The FINRA Entitlement Program provides a secure way to access participating Web-based systems with a shared entitlement service. This service provides authorized users the ability to access these systems with a single FINRA User ID and Password. Currently, there are more than 20 FINRA applications available via this shared entitlement platform and more applications will be added in the future.

There are resources offered on this page regarding the FINRA Entitlement Program and the tools and systems available to both Account Administrators and system users.

New Entitlement Privilege—View Individual SSNs

On June 23, 2008, FINRA implemented a new information security feature that restricts access to Social Security numbers (SSNs) through a specific entitlement in Web CRD^® and IARD^SM. Only those individuals who are entitled with the new privilege—"View Individual SSN"—are able to view SSNs in Web CRD/IARD. SSNs will be masked with "Xs" for individuals who are not entitled with this new privilege.

Important to Note:

All individuals, regardless of whether they are entitled with the new "View Individual SSN" privilege, are still able to search by SSN in Web CRD/IARD.
All Web CRD/IARD Account Administrators were automatically entitled with the new "View Individual SSN" privilege as of June 23, 2008.
Account Administrators must entitle those individuals in their organizations who require access to SSNs to perform their job responsibilities by setting the "View Individual SSN" privilege for them through the FINRA Entitlement Account Management Tool.

Help and Training on Entitlement

Provided on the Entitlement Help and Training page are Call Center phone numbers, links to job aids, answers to Frequently Asked Questions (FAQs) about FINRA Entitlement, an online training tutorial, and other resources available to Account Administrators and users to familiarize them with the features of the FINRA Entitlement Program.

Systems/Applications Information

The following systems/applications are participants in the FINRA Entitlement Program:

Information on
Systems/Applications: Login to a System/Application:

2711 - Annual Attestation of Compliance http://www.finra.org/regnotes2711

IARD https://crd.finra.org/iad

FINRA Contact System (FCS) https://regfiling.finra.org/contacts/ncs_contacts.aspx

Report Center https://reportcenter.finra.org

New Member Application http://www.finra.org/OnlineFormNMA/

Order Audit Trail System (OATS)
Certification Test Environment (CT)
https://oatstest.finra.org/

Production Environment (PD)
https://oats.finra.org/

Online Dispute Resolution (Online DR) https://forms.finra.org/ADR/LoadForm.aspx

Regulation Filing Applications https://regfiling.finra.org

Surveillance FINRA and SEC use only:

Web CRD https://crd.finra.org

Web Information Request (Web IR) https://forms.finra.org/nep

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.

Questions about FINRA Entitlement?

Contact the Gateway Call Center:

FINRA Member & Non-member Firms: (301) 869-6699

Investment Adviser (IA) Firms: (240) 386-4848