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New FINRA Account Management System

FINRA Accounts System Background Image

The new FINRA Account Management System that firm administrators use to manage access to FINRA applications will be available August 1, 2021. 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 capabilities, quick actions, inline editing, organization of information into distinct sections, and enhanced entitlements navigation and descriptions.

All Super Account Administrators (SAAs) and Account Administrators (AAs) for firms that have certified or with firms that have recently onboarded will be automatically granted access to the new Account Management System.

Guidance

Frequently Asked Questions 

1. Do all firms get access to the new FINRA Account Management System on August 1, 2021?  

On August 1, 2021, only firms that have completed their 2021 FINRA Entitlement User Accounts Certification or newly onboarded firms will have access to the new FINRA Account Management System. Eventually, all organizations will have access to the new system.

2. What if my firm certifies after July 30, 2021? Will I be able to access the new FINRA Account Management System?

Firms that certify after July 30, 2021 will be granted access to the new FINRA Account Management System by FINRA Entitlement. FINRA will identify firms as they certify and will grant the SAA access to the new FINRA Account Management System.

3. How will Account Administrators in my organization get access to the new FINRA Account Management System if my firm certifies after July 30?

For firms that certify after July 30, FINRA will grant the SAA of the firm with the “Manage Access New Accounts Application in FINRA Gateway” privilege. The SAA will then need to assign “Use” to this same privilege for their Account Administrators so they can access the new system. Access to the new system is through the FINRA Gateway. See Q#6 for specific access information.

4. Are all key features from the current FINRA Account Management System available in the new FINRA Account Management System?

Most of the key features will be available in the new Account Management System on Day 1. Two key features, ‘cloning’ and ‘exporting account details’ will be available at the end of August. For a period of time, both the current and new systems will be available for use so you can use the cloning and download features in the current Account Management System until they become available in the new system.

5. How long will the current Account Management System be available?

The current Account Management System will be available through at least September 30, 2021. FINRA will post a message in advance of when the current system will no longer be available.

6. How do I access the new FINRA Account Management System?

Access to the new FINRA Account Management System will depend on the type of firm you are.

If you are a BD or IA or BD/IA Firm 

Once your account has been granted access to the new FINRA Account Management System via the “Manage Access New Accounts Application in FINRA Gateway” privilege, follow the steps below:

  1. Open FINRA Gateway Portal: https://gateway.finra.org 
  2. Enter your User ID & Password 
  3. Read the Terms and Conditions and click Accept & continue. 
  4. Authenticate via DUO MFA 
  5. Login into FINRA Gateway Homepage 
  6. Select Admin icon from the sidebar menu 
  7. When it expands, select Accounts (new). 

    Account Access

If you are a Funding Portal Firm 

Once your account has been granted access to the new FINRA Account Management System via the “Manage Access New Accounts Application in FINRA Gateway” privilege, follow the steps below:

  1. Open Funding Portal Gateway: https://firms.finra.org  
  2. Enter your User ID & Password 
  3. Read the Terms and Conditions and click Accept & continue. 
  4. Authenticate via DUO MFA 
  5. Select the USER Administration link 

    User Administration
     
  6. This will open the old Account Management application 
  7. On top of the screen, there will be a banner with a link to the new FINRA Account Management System. Please note: You will only see the banner if your firm has certified or are a newly onboarded firm and have access to the FINRA Account Management System. If you do not have access, contact your SAA

    Banner image
     
  8. Select the link and it will open the landing page of the new FINRA Account Management System. 

    FINRA Account

If you are a New Member Firm 

Once your account has been granted access to the new FINRA Account Management System via the “Manage Access New Accounts Application in FINRA Gateway” privilege, follow the steps below:

  1. Open Firm Gateway Portal: https://firms.finra.org  
  2. Enter your User ID & Password 
  3. Read the Terms and Conditions and click Accept & continue. 
  4. Authenticate via DUO MFA 
  5. Select the USER Administration link 

    User Administration
     
  6. This will open the old Account Management Application 
  7. On top of the page there will be a banner with a link for the new FINRA Account Management System 
  8. Select the link and it will open the landing page of the new FINRA Account Management System. 

    FINRA Account