Monday, January 14, 2013

Annual Entitlement Certification Begins Jan. 14, 2013

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 https://accountmgmt.finra.org

Once you login, you will see this screen below. Click the link

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 Support@AdvisorAssist.com

Below is the text of the FINRA Communication


As you may be aware, one of your responsibilities as your firm's Super Account Administrator (SAA) is to complete the annual FINRA Entitlement User Accounts Certification Process. This certification process—which for 2013 begins Jan. 14 and ends Feb. 13—requires a review of your firm's user accounts and appropriate action to ensure that, on your organization's behalf:

  • each user has a continuing need to access application(s) provided by FINRA;
  • users have only the application privileges they need 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) have access to this type of data.

If you would like to expedite the process and begin reviewing your firm's individual user accounts prior to Jan. 14, you can do so at any time using the (Account Management Application) (refer to FINRA's certification process at http://www.finra.org/Industry/Compliance/Entitlement page for more information).

Please Note: While you can conduct your review prior to Jan. 14, you will not be able to access the User Account Certification link to complete your firm's certification until you receive an email on Jan. 14 announcing that the certification period has begun. If you have additional questions, please review the Entitlement User Accounts Certification Process Quick Reference Guide and the FINRA Entitlement Program Frequently Asked Questions, or contact the FINRA Call Center:

  • Broker-Dealer Firms – (301) 869-6699
  • Investment Adviser Firms – (240) 386-4848

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