FINRA Entitlement Program Announcements
FINRA's 2021 Entitlement User Account Certification Processes
Entitlement Certification Period—Organizations With Super Account Administrators (SAAs)
FINRA's 2021 User Accounts Certification Process for Super Account Administrators (SAAs) is scheduled for April 19, 2021 – July 19, 2021. 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 necessary to perform their job responsibilities on the FINRA Entitlement platform or remove access if no longer required. 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.
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.
Super Account Administrator (SAA) Forms
New Organization Super Account Administrator (SAA) & FINRA Entitlement Agreement (FEA) Forms 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.
The Update/Replace Super Account Administrator (SAA) & FINRA Entitlement Agreement (FEA) Forms must be used to replace an SAA or update information, such as the name or email address of the current SAA. An Authorized Signatory from your organization needs to request the Update/Replace SAA Form by contacting the Gateway Call Center at (301) 869-6699 or (301) 590-6500. The form will be sent to that Authorized Signatory's contact information on file with FINRA.
Signatory Requirements and Special Circumstances for SAA Forms
The New Organization SAA Forms and the Update/Replace SAA Forms have specific instructions and signature requirements which must be met for processing. The forms must be signed by an Authorized Signatory and may not be self-signed unless specific requirements are met as indicated on the forms.