New Organization SAA Form

Use the New Organization SAA Form to designate an SAA when your organization is new and requires access to the FINRA Entitlement Program. This form has specific instructions and signature requirements noted in the form which must be met for processing. Please select your method of submission from one of the options provided below.

Electronic Form Submission via DocuSign

The form can be completed electronically. The link below will take you to the DocuSign website and will prompt you to enter the name and email address of an individual at your firm who has the authority to sign for the firm (refer to the full definition of an Authorized Signatory on the form). DocuSign will email a code to the Authorized Signatory in order to validate the email address and allow the Authorized Signatory to access the form. Once the form is complete, it will be sent to FINRA for processing. Please allow up to three business days for the SAA to be created.

Downloadable PDF Form Submission via Email, Fax or Mail

If you would prefer to download and complete the form offline, you may download the form as a PDF. The form includes instructions on how to submit the form.