Entitlement Program
The FINRA Entitlement Program provides a secure way for firms to access many of FINRA’s web-based systems.
The Entitlement Program includes a Super Account Administrator (SAA) role that allows firms to create, modify and delete account administrator and user accounts for FINRA applications. Individuals at firms must contact their SAA for access to most FINRA systems. See Information Notice 3-24-10 for more details.
2019 Entitlement Certification
FINRA's Annual Entitlement User Accounts Certification Process concluded June 21, 2019. Super Account Administrators (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. Other consequences include notification to the appropriate FINRA District Office for FINRA member firms or notifications to other regulators for non-FINRA organizations. In addition, all user accounts for an organization will be suspended. Should account suspensions occur, SAAs from affected organizations will be required to work with the FINRA Entitlement Group in order to regain system access.
For detailed information, refer to the following pages:
Following are links to additional information regarding the FINRA Entitlement Program:
- Announcements
- Password Requirements
- Systems/Applications Information
- FINRA Entitlement Program Terms of Use (Updated March 2020) – View or print the terms and conditions which appear on the login page of a participating application.
- Forms & Confirmation Packets
- SAA Entitlement – Access the New Organization SAA Form to designate an SAA for your new firm and review instructions for replacing/updating an SAA, as well as information pertaining to the annual FINRA Entitlement user accounts certification process.
- SAAs are responsible for creating and maintaining account administrator and user accounts for their firms. If you do not know who the SAA is at your firm, log in via the Firm Gateway, click on "My Account" and view information on the "Applications & Administrators" tab.
- Entitlement Information for FTP/IFT Users – Applies to the Order Audit Trail System (OATS) and/or File Transfer Applications
- Entitlement Information for Service Providers – Applies to OATS and/or File Transfer Applications
- Investment Adviser Entitlement Forms & Packets – Applies to the Investment Adviser Registration Depository (IARD) System
- SAA Entitlement – Access the New Organization SAA Form to designate an SAA for your new firm and review instructions for replacing/updating an SAA, as well as information pertaining to the annual FINRA Entitlement user accounts certification process.
- Entitlement Help & Training
For questions, contact the Gateway Call Center:
- Broker-dealer firms: (301) 869-6699
- Funding Portals: (301) 590-6500
- Investment adviser firms: (240) 386-4848