April 23, 2020
Annual FINRA Entitlement User Accounts Certification – 2020
WHAT HAPPENED?
The FINRA Entitlement Program requires an annual review and certification of user accounts to ensure that all persons with access to FINRA applications, such as the IARD portal, are approved by the Super Account Administrator (SAA) of the adviser.
The review specifically evaluates that users have an ongoing need to access FINRA applications, may access only applications which are essential to job functions, and that users are authorized to access sensitive information, if necessary.
WHAT DOES THIS MEAN FOR ME?
FINRA requests these certifications from the SAA at each adviser at some point each year. Currently, some advisers are receiving the FINRA request for 2020 certification which is due by July 20, 2020. Not every adviser will receive their certification request at this time but will instead receive it later this year.
Fairview is aware of the certification requests, and the current deadline, and is conducting reviews of adviser logins to see if a certification will be due in July. Please contact Fairview with questions about the annual user accounts certification or the FINRA Entitlement Program.
