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FINRA Entitlement Program Announcements

FINRA’s 2023 Entitlement User Accounts Certification Process

Entitlement Certification Period – Organizations with Super Account Administrators (SAAs)

FINRA’s User Accounts Certification Process for Super Account Administrators (SAAs) is scheduled for April 17 – June 19. 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:

Super Account Administrator (SAA) Form

New Organization Super Account Administrator (SAA) & FINRA Entitlement Agreement (FEA) Form must be used when a new organization is first requesting FINRA Entitlement and needs to designate its SAA. This form is available on the FINRA website. Investment Adviser firms that already have access to the FINRA Entitlement Program and have yet to file their initial ADV must complete the New Organization SAA Form to replace their SAA.

Signatory Requirements and Special Circumstances for SAA Form

The New Organization SAA Form has specific instructions and signature requirements which must be met for processing. The form must be signed by an Authorized Signatory and may not be self-signed unless specific requirements are met as indicated on the 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 FINRA Support Center. All requests need to be approved by a firm’s Authorized Signatory before being fulfilled.

NOTE: IA firms that have access to the FINRA Entitlement Program and need to replace their SAA, but have not yet filed their initial Form ADV, must complete the New Organization SAA Form to replace or update their SAA.

Replace SAA Process

Update SAA Name and/or Email Process