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Entitlement Program

The FINRA Entitlement Program provides a secure way for firms to access many of the web-based applications, materials and services they use with a single user ID and password.

New FINRA Account Management System

Coming 8/1/2021 - The new FINRA Account Management System that firm administrators use to manage access to FINRA applications will be available for firms that have completed their 2021 FINRA Entitlement User Accounts Certification and for firms that have recently onboarded. The new system is integrated with FINRA Gateway and offers enhanced functionality, a state-of-the-art user experience and performance upgrades, including advanced search capability, quick actions, inline editing, organization of information into distinct sections, enhanced entitlements navigation and descriptions, and in-app tutorials.

FINRA's 2021 Entitlement User Account Certification Processes


Entitlement Certification Period—Organizations With Super Account Administrators (SAAs)


FINRA's User Accounts Certification Process for Super Account Administrators (SAAs) is scheduled for April 19, 2021 – July 19, 2021. During this period, SAAs for firms with more than one user and/or administrator account must certify that authorized users are only entitled to those privileges necessary to perform their job responsibilities on the FINRA Entitlement platform or remove access if no longer required. Organizations with only an SAA account and no other users or administrators have the option to certify, but are not required, unless the firm has access to the Consolidated Audit Trail (CAT). Firms with one or more accounts with access to CAT must certify.

The Entitlement Program includes an 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 systems on the FINRA Entitlement Platform. See Information Notice 3-24-10 for more details.


Entitlement Certification Period—Organizations With Certification Representatives (No SAA)


FINRA's 2021 Entitlement Certification period is scheduled for September 13, 2021 – November 15, 2021. During this period, a Certification Representative (CRep) for each organization must certify that all authorized users are only entitled to those privileges necessary to perform their job responsibilities on the FINRA Entitlement Platform. 

To designate or replace your CRep, complete the FINRA Entitlement Program Certification Representative (CRep) Designation Form. The form must be signed and submitted by an Authorized Signatory.

As a new participant to the FINRA Entitlement Program, a Non-SAA (Super Account Administrator) organization must complete:

  1. FINRA Entitlement Agreement (FEA).
  2. A FINRA Entitlement Form
    1. For the appropriate Entitlement form for your type of organization, contact the Gateway Call Center: (301) 869-6699
  3. FINRA Entitlement Program Certification Representative (CRep) Designation Form

In order for access to be granted to the FINRA Entitlement Program, please ensure that all three forms and required fields are completed and signed by an Authorized Signatory of your organization.

Note: This information does not apply to organizations with a Super Account Administrator (SAA). Broker-dealers, investment advisers, funding portals and US-based regulators are all required to designate and maintain an SAA to participate in the FINRA Entitlement program.


Multi-Factor Authentication (MFA)


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:

For questions, contact the Gateway Call Center:

  • Broker-dealer firms: (301) 869-6699
  • Funding Portals: (301) 590-6500
  • Investment adviser firms: (240) 386-4848