Entitlement for Funding Portals
After your firm files SEC Form Funding Portal, you will need access to FINRA systems to file FINRA forms such as the Form FP-NMA as well as access to the Funding Portal Registration Depository (FPRD) and other related systems.
FINRA's 2022 Entitlement User Accounts Certification Period
Each year, FINRA designates a period during which SAAs of organizations with more than one user must certify their users' access to comply with FINRA's Entitlement User Accounts Certification Process. This process provides a formal review of all user accounts in the FINRA Entitlement Program administered by an SAA. For 2022, the certification period is June 1 – August 31.
For detailed information, refer to the following pages:
- FINRA Entitlement Reference Guide
- Annual Entitlement User Accounts Certification Process
- FINRA Entitlement Program Frequently Asked Questions
FINRA Entitlement Program
The FINRA Entitlement Program provides a secure way for your firm to access many of FINRA’s web-based systems with a single user ID and password. The program requires that your firm designate a Super Account Administrator (SAA) who will be authorized to create, modify and delete account administrator and user accounts for FPRD and other FINRA applications. For security reasons, only one SAA may be designated per Organization ID#.
- FINRA Entitlement Program
Super Account Administrators
Super Account Administrators (SAAs) are responsible for maintaining accounts by ensuring access is required and appropriate for users and for the timely deletion of accounts when access is no longer needed. SAAs at firms with more than one user are required to complete an annual online certification of all users.
How to Designate an SAA
You must complete the New Funding Portal Organization Super Account Administrator (SAA) Entitlement Form to designate an SAA when your organization is new and requires access to the FINRA Entitlement Program. The form has specific instructions and signature requirements that must be met for processing.
- The signer of the form must be an Authorized Signatory (that is, the Chief Executive Officer (CEO), Chief Financial Officer (CFO), Chief Legal Officer (CLO), Chief Operations Officer (COO), Chief Compliance Officer (CCO) or a Director or any other individual with similar status or functions). The signer and the designated SAA may not be the same person.
Once FINRA processes the New Funding Portal Organization SAA Form and creates the SAA account, a confirmation email will be sent to the Authorized Signatory who signed the form and to the SAA. The SAA will receive two emails: one with his or her user ID and one with the temporary password.
Note: Firms with affiliates may designate the same SAA for each affiliate or a different one; however, each affiliate (with its own Organization ID#) must provide a signed New Funding Portal Organization SAA Entitlement Form.
Replace/Update Your SAA
The Account Management System now offers an online workflow that enables a firm to submit a request to replace its SAA and allows an SAA to update their name or email address without having to contact the Gateway Call Center. All requests need to be approved by a firm’s Authorized Signatory before being fulfilled.
Replace SAA Process
Update SAA Name and/or Email Process
- For Funding Portals: An authorized signatory is the Chief Compliance Officer (CCO), Chief Executive Officer (CEO), Chief Financial Officer (CFO), Chief Legal Officer (CLO), Chief Operations Officer (COO) or a Director or any other individuals with similar status or functions listed on Schedule A of the firm’s current SEC Form FP.
FINRA Login Security Feature
When first time users log in to the FINRA Entitlement Program, they will be required to create a new password by clicking on the Activate Password button in the FINRA Entitlement Information/New Account – Password email, to select three security questions and to provide a response to each question. For additional information, refer to the Frequently Asked Questions (FAQs) and reference guides.
Help & Training
- Entitlement Reference Guide – Instructions for Super Account Administrators (SAA) and Account Administrators (AAs) to navigate Account Management.
- Frequently Asked Questions (FAQ) – Answers to frequently asked questions regarding the SAA role, selecting an SAA and the designation process, as well as guidance for completing the annual certification process.
For questions about the FINRA Entitlement Program or the SAA role, contact the Gateway Call Center.