Wednesday, November 9, 2011

Annual FINRA Entitlement User Accounts Certification

Attention Advisors!
You should have received an email today from FINRA for the 
Annual FINRA Entitlement User Accounts Certification

The purpose of this email is to ensure that each firm has accurate information for the IARD and CRD systems. The process is quick and simple (if you have your account access handy!)

The SAA ("Super Account Administrator") for your firm must log into your FINRA account at

Once you login, you will see this screen below. Click the link
Click here to begin User Accounts Certification Process.

Then follow the prompts. If your user information is correct, scroll to the certification (example below) and complete the form.

If you have trouble logging into your account or need to make changes to Administrators, give us a call at 617-800-0388 or email

Please email us at when you have completed this to help us ensure this does not slip through. You will receive a confirmation email that you can forward to us. THANKS!

Please note:  If user accounts are not certified within the 30-day certification period (Deadline: 12/9/11), the capability to your IARD/CRD account will be disabled. 

Here's the text of the FINRA Communication
Start Date: 11/09/2011
Due Date: 12/09/2011

One of the responsibilities of FINRA Super Account Administrators (SAA) is to ensure that users in their organization who require access to applications in the FINRA Entitlement Program to perform their job responsibilities are properly entitled to these applications and the sensitive data that these applications may contain. While FINRA encourages administrators to review user accounts periodically throughout the year, FINRA is launching an annual user accounts certification program to enhance this review process. The purpose of this email is to notify you that today begins FINRA's 2011 Entitlement User Accounts Certification Period. 

During this 30-day certification period, you will need to review your organization's user accounts to determine that:
  • each user has a continuing need to access FINRA application(s) on the organization's behalf;
  • each user is entitled only to the applications and privileges needed to perform current job responsibilities; and
  • only users who require access to sensitive data (e.g., Criminal History Record Information, social security or tax identification numbers, dates of birth) are entitled to access this type of data

For your convenience, you can download your user account information into a report to send to other individuals within your organization to confirm individual's appropriate entitlement, including access to applications, privileges, and sensitive data. FINRA recommends that you certify your users on the same day you request the download to prevent having to perform a subsequent review of your users as the entitlement data may have changed since the download was requested.

If user accounts are not certified within the 30-day certification period, the capability to create, edit and clone accounts within an organization will be disabled for all Administrators and will remain disabled until an organization completes the certification process. 

To begin the certification process, please click here

Additional entitlement information can be found on the FINRA Entitlement Program page.

If you have any questions concerning the certification process, please contact the Gateway Call Center at:
(301) 869-6699 (Broker/Dealers)
(240) 386-4848 (Investment Advisers) 

Thank you.


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