Entitlement for Funding Portals
After your firm files SEC Form Funding Portal, you will need access to FINRA systems to file FINRA forms such as the Form FP-NMA as well as access to the Funding Portal Registration Depository (FPRD) and other related systems.
FINRA Entitlement Program
The FINRA Entitlement Program provides a secure way for your firm to access many of FINRA’s Web-based systems with a single user ID and password. The program requires that your firm designate a Super Account Administrator (SAA) who will be authorized to create, modify and delete account administrator and user accounts for FPRD and other FINRA applications. For security reasons, only one SAA may be designated per Organization ID#.
- Systems/Applications Information
Super Account Administrators
Super Account Administrators (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 of all users in the first quarter of each year.
How to Designate an SAA
You must complete the New Funding Portal Organization Super Account Administrator (SAA) Entitlement Form to designate an SAA when your organization is new and requires access to the FINRA Entitlement Program. The form has specific instructions and signature requirements that must be met for processing.
- The signer of the form must be an Authorized Signatory (that is, the Chief Executive Officer (CEO), Chief Financial Officer (CFO), Chief Legal Officer (CLO), Chief Operations Officer (COO), Chief Compliance Officer (CCO) or a Director or any other individual with similar status or functions). The signer and the designated SAA may not be the same person.
Once FINRA processes the New Funding Portal 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 SAA will receive two emails: one with his or her user ID and one with the temporary password.
Note: Firms with affiliates may designate the same SAA for each affiliate or a different one; however, each affiliate (with its own Organization ID#) must provide a signed New Funding Portal Organization SAA Entitlement Form.
Update/Replace Your SAA
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 FINRA Call Center (301-590-6500) to request an Update/Replace Funding Portal Organization SAA Form. FINRA will only process the request from an Authorized Signatory and will pre-populate the form with a unique identifier specific to the request. The form will be sent to the Authorized Signatory contact information on file at FINRA.
When your firm submits the Update/Replace Funding Portal Organization SAA Form, FINRA will check to confirm the form has the pre-populated information and is signed by an Authorized Signatory. FINRA will suspend all accounts if information does not match or is not verifiable.
FINRA Entitlement User Accounts Certification Period
Each year, FINRA designates a period during which SAAs of organizations with more than one user must certify their users’ 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 2019, the certification period was April 22 – June 21, 2019. The ability to create, edit and clone accounts is disabled until certification is completed.
For detailed information, refer to the following pages:
- Entitlement User Accounts Certification Process Quick Reference Guide
- Annual Entitlement User Accounts Certification Process
- FINRA Entitlement Program Frequently Asked Questions
FINRA Login Security Feature
The first time users log onto the FINRA Entitlement Program, they will be required to change their temporary password, to select three security questions and to provide a response to each question. For additional information, refer to the Frequently Asked Questions (FAQs) and reference guides.
Help & Training
- FINRA Entitlement Program: Super Account Administrators Quick Reference Guide – 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 Reference Guide – Instructions for Account Administrators (AAs) and Super Account Administrators (SAAs) to navigate Account Management.
- Entitlement User Accounts Certification Process Quick Reference Guide - Step-by-step instructions for completing the annual certification process.
- Frequently Asked Questions (FAQs) – 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.
For questions about the FINRA Entitlement Program or the SAA role, contact the Gateway Call Center at (301) 590-6500.