June 9, 2025
What happened?
The 2025 FINRA Entitlement Certification period is currently open and must be completed by June 16, 2025. 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 whether users have an ongoing need to access FINRA applications, may access only essential applications for their job functions, and whether users are authorized to access sensitive information as necessary. If an individual no longer requires access, remove the appropriate entitlement(s).
What does this mean for me?
FINRA requests these certifications from the SAA to each adviser at some point each year. Not every adviser will receive their certification request at this time. Instead, they will receive it later in the year.
Fairview can help with validations. If you have any questions or need assistance, please contact us.
