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

• SAA Entitlement Form & Instructions – Use this form to designate or replace an SAA, or to update an SAA's name or email address.
  • SAA Confirmation Packet: Refer to this packet for detailed information regarding the SAA role.

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. Details on this process are provided on this page.

 

 

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

• Entitlement Information for FTP/IFT Users – View this information if your organization uses file transfer protocol/Internet file transfer functionality for the Order Audit Trail System (OATS) and/or Secure Request Manager (SRM)/eAnalytics. 
• Systems/Application Information – View a list of applications and their associated privileges covered by the FINRA Entitlement Program.

 

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