News & Insights

Annual FINRA Entitlement User Accounts Certification Begins Today

What happened?

FINRA announced that the 2024 FINRA Entitlement Certification period begins today and must be completed on or before June 17, 2024. 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. Not every adviser will receive their certification request at this time but will instead receive it later this year.

Fairview can help with validations. If you have any questions or need assistance, please contact your relationship manager.