Entitlement Program
The FINRA Entitlement Program provides a secure way for firms to access many of FINRA’s web-based applications, materials and services with a single user ID and password.
Sharing of account credentials to access FINRA systems is strictly prohibited. An account must be used only by the person for whom it is created.
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.
FINRA's 2020 Entitlement Certification Period
FINRA's 2020 Entitlement Certification period is April 20 – July 20, 2020. During this period, SAAs for firms with more than one user and/or administrator account must certify that individuals have the appropriate level of access to FINRA systems required to perform their job responsibilities or remove access if no longer required. This year, organizations with only an SAA account and no other users or administrators have the option to certify but are not required.
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 is implementing an additional layer of security for SAAs and AAs with a phased rollout of multi-factor authentication beginning this April through December 2020. Learn more.
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