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.
Sharing of account credentials to access systems on the FINRA Entitlement Platform is strictly prohibited.
An account must be used only by the person for whom it is created.
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.
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.
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:
- 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.
- FINRA Entitlement Program Certification Representative (CRep) Designation Form – Applies to organizations without an SAA
- 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