Annual Certification Process Entitlement Account User

April 22, 2019

Each year, FINRA designates a period during which SAAs of organizations with more than one user must certify their users’ access to comply with FINRA’s Entitlement User Accounts Certification Process. This year, the certification period is April 22 – June 21, 2019.

Each user account must be reviewed to ensure 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 those users who require access to sensitive data (e.g., Criminal History Record Information (CHRI), Social Security or tax identification numbers, dates of birth) are given access to this type of data.

Any user who no longer requires access must have the account deleted.

For instructions regarding the Annual Entitlement User Accounts Certification Process, please visit http://www.finra.org/sites/default/files/Annual-Entitlement-User-Accounts-Certification-Process-Guide.pdf.

If user accounts are not certified within the designated period, the ability to create, edit and clone accounts will be disabled for all administrators within the organization and other action by FINRA and other regulators may be taken to ensure compliance with the process.

If you have any questions, please contact Marlon Paz at (202-661-7178) or the FINRA Call Center directly at (301) 869-6699 (Broker/Dealers), (240) 386-4848 (Investment Advisers), (301) 590-6500 (Funding Portals).


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Marlon Q. Paz

(202) 661-7178 • (212) 574-1278
paz@sewkis.com