FINRA Entitlement Program Announcements

FINRA Entitlement User Accounts Certification Process Was Due February 9, 2017

FINRA's Annual Entitlement User Accounts Certification Process concluded February 9, 2017. SAAs for firms with more than one user who have not yet certified must do so immediately. The ability to create, edit and clone accounts has been disabled and will remain so until certification is completed; follow up by the applicable regulators will occur. For detailed information, refer to the Annual Entitlement User Accounts Certification Process web page.

Super Account Administrator (SAA) Forms

New Organization Super Account Administrator (SAA) & FINRA Entitlement Agreement (FEA) Forms must be used when a new organization is first requesting FINRA Entitlement and needs to designate its SAA. This form is available on the FINRA website. Investment Adviser firms that already have access to the FINRA Entitlement Program and have yet to file their initial ADV  must complete the New Organization SAA Form to replace their SAA.

The Update/Replace Super Account Administrator (SAA) & FINRA Entitlement Agreement (FEA) Forms must be used to replace an SAA or update information, such as the name or email address of the current SAA. An Authorized Signatory from your organization needs to request the Update/Replace SAA Form by contacting the Gateway Call Center at (301) 869-6699 or (301) 590-6500. The form will be sent to that Authorized Signatory's contact information on file with FINRA.

Signatory Requirements and Special Circumstances for SAA Forms

The New Organization SAA Forms and the Update/Replace SAA Forms have specific instructions and signature requirements which must be met for processing. The forms must be signed by an Authorized Signatory and may not be self-signed unless specific requirements are met as indicated on the forms.