FINRA Entitlement Program Announcements
FINRA’s 2024 Entitlement User Accounts Certification Process
Entitlement Certification Period—Organizations With Certification Representatives (No SAA)
FINRA's 2024 Entitlement Certification period is scheduled for September 9– November 11. 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 Request. The request must be signed and submitted by an Authorized Signatory.
To learn more about the SAA’s role and responsibilities, please consult the following resources:
Super Account Administrator (SAA) Agreement
New Organization Super Account Administrator (SAA) Agreement must be used when a new organization is first requesting FINRA Entitlement and needs to designate its SAA. This agreement is available on the FINRA website.
To learn more about the SAA’s role and responsibilities, please consult the following resources:
Signatory Requirements and Special Circumstances for SAA Agreement
The New Organization SAA Agreement has specific instructions and signature requirements which must be met for processing. The agreement must be signed by an Authorized Signatory and may not be self-signed unless specific requirements are met as indicated on the agreement.
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.
Replace SAA Process
Update SAA Name and/or Email Process