Super Account Administrator (SAA)
The FINRA Entitlement Program requires that each organization designate a Super Account Administrator (SAA) who is responsible for access management for their organization’s users. An SAA is expected to have the requisite knowledge of their users and their associated responsibilities that justify access to the required systems and functions to which access is granted.
The SAA is entitled as an administrator to all applications participating in the FINRA Entitlement Program that are available to the organization. An organization’s SAA is able to create, maintain and remove accounts for account administrators and users. If an SAA needs to be able to use the participating systems to perform specific job responsibilities, then the SAA must set his/her own entitlement (i.e., self-entitle).
An SAA is responsible for maintaining accounts and periodically reviewing accounts to verify that access is still required and appropriate for each user. An SAA is also responsible for the timely deletion of accounts when access is no longer needed, including notifying FINRA when machine accounts are no longer required.
SAAs at firms with more than one user are required to complete an annual online FINRA Entitlement Account Certification of all accounts.
For security reasons, only one SAA may be designated per organization ID #. Firms with affiliates may designate the same SAA for each affiliate or a different one; however, each affiliate (with its own Org ID #) must provide an executed SAA Entitlement Form.
The information provided on this page pertains to broker-dealers and investment adviser firms. Funding portals should review the Entitlement for Funding Portals page for their complete information.
Designate an SAA For Your New Organization
- New Organization SAA Entitlement Form & Instructions - Use this form to designate an SAA when your organization is new and requires access to the FINRA Entitlement Program. This form has specific instructions and signature requirements noted in the form which must be met for processing.
Once FINRA processes the New 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 new SAA will receive two emails: one with his/her user ID and one with the temporary password. Both emails will have a link to the FINRA Entitlement web page.
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.
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
- For Broker-Dealers, the authorized signatory is the Chief Compliance Officer (CCO) or authorized officer (or other authorized person) listed on Schedule A of the firm’s current Form BD or listed in the FINRA Contact System (FCS).
- For Investment Advisers, the authorized signatory is the Chief Compliance Officer (CCO) or Additional Regulatory Contact (ARC) listed on the firm’s current Form ADV.
- 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.
- For Regulators: An authorized signatory is the Securities Commissioner, Chief Regulatory Officer or other authorized signatory.
FINRA Login Security Feature
The first time users log onto a FINRA Entitlement Platform, they will be required to change their temporary password, and select three security questions and provide a response to each question. For additional information, refer to the answers to the Security FAQ.
Help & Training
- FINRA Entitlement Reference Guide – Contains Account Management System instructions for both Account Administrators (AAs) and Super Account Administrators (SAAs), as well as guidance for completing the annual certification.
- Frequently Asked Questions – Review 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.
- Entitlement Information for FTP/IFT Users – View this information if your organization uses file transfer protocol/Internet file transfer functionality.
- Checklist for Organizational Change: Mergers, Acquisitions, and Successions
If your firm is undergoing an organizational change, it may affect the ways in which you interact with FINRA, such as your membership application and system-related privileges. In order to make your firm's transition easier, we have compiled a checklist of steps to consider.