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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.

FINRA's 2022 Entitlement User Account Certification Processes

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

FINRA's User Accounts Certification Process for Certification Representatives (CRep) is scheduled for September 12– November 14. During this period, a 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.

 

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

FINRA's User Accounts Certification Process for Super Account Administrators (SAAs) is scheduled for June 1 – August 31. 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/roles necessary to perform their job responsibilities on the FINRA Entitlement platform. If an individual no longer requires access, remove the appropriate entitlement(s) or delete their account.

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.

To learn more about the SAA’s role and responsibilities, please consult the following resources:

 

Following are links to additional information regarding the FINRA Entitlement Program:

Forms & Information

Entitlement Help & Training