FINRA Entitlement Program Announcements
FINRA's annual user accounts certification process will begin on January 12, 2015, and end February 12, 2015. During this 30-day period, Super Account Administrators (SAAs) for firms with more than one user must certify that users at their firm who require access to applications in FINRA’s Entitlement Program have the appropriate entitlement privileges to perform their job responsibilities.
Two new Super Account Administrator forms were created to replace the previous SAA Form.
Note: Previous versions of the SAA Entitlement Forms are obsolete and will not be accepted.
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.
New Signatory Requirements and Special Circumstances for SAA Forms
The New Organization SAA Form and the Update/Replace SAA Form 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 documented on the forms.