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
The new FINRA Account Management System that firm administrators use to manage access to FINRA applications is available on FINRA Gateway. The new system 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.
All Super Account Administrators (SAAs) and Account Administrators (AAs) for firms that have certified or firms that have recently onboarded are granted access to the new Account Management System.
FINRA's 2021 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:
- FINRA Entitlement Agreement (FEA).
- A FINRA Entitlement Form
- For the appropriate Entitlement form for your type of organization, contact the Gateway Call Center: (301) 869-6699
- 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.
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 File Transfer Applications
- Entitlement Information for Service Providers – Applies to File Transfer Applications
- Investment Adviser Entitlement Forms & Information – 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