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New FINRA Account Management System

Person at Computer

The new FINRA Account Management System that 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 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) that have certified or that have recently onboarded are granted access to the new Account Management System.

Guidance

How to Videos

Create New Account

Edit Individual Information

 

Search Account

Add or Remove Entitlements for a User

Frequently Asked Questions


Firms

1. Do all firms have access to the new FINRA Account Management System?
Newly onboarded firms and firms that have completed their 2021 Entitlement User Account Certification have access to the new FINRA Account Management System. Firms that failed to certify their user accounts in 2021 cannot access the new system until they certify (see Q2).

2. How does my firm access the new FINRA Account Management System if we did not yet complete the 2021 Entitlement User Account Certification?
Firms that have not completed the 2021 Entitlement User Account Certification must call the Gateway Call center to complete the certification process.

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

Once your firm completes user certification, FINRA Entitlement will grant the SAA access to the new Account Management system. The SAA will then need to assign “Use” to this same privilege for their Account Administrators so they can access the new system.

3. 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://fp.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 FINRA Gateway Portal: https://nma.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


Regulators

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

There are multiple ways you could access the new Account Management system:

  • Option 1:
    1. Open Regulator Workspace: 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. Select Admin icon from the sidebar menu 
    6. When it expands, select Accounts (new). 
  • Option 2:
    1. Log into: https://crd.finra.org 
    2. Select the Account Administration link on the top left-hand corner of the page:

      Account Management System: Acct Management tab
       
    3. A new tab should open and land you to the Account Management system in Regulator Workspace
       
  • Option 3:
    1. Log into: https://reg.finra.org 
    2. Select the User Administration tab on the top of the page:
       

      Account Management System: User Admin tab

    3. A new tab should open and land you to the Account Management system in Regulator Workspace

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

The current Account Management System will be available through at least January 29, 2022. FINRA will post a message in advance of when the current system will no longer be available.

3. How can we provide access to the new Account Management System for new Account Admins (AA)?

The Super Account Admin (SAA), will need to grant the USE privilege for entitlement “Manage Access to New Account Management Application” in the Account Management application:

Account Management System: Manage Access