The annual SAA (Super Account Administrator) Certification Process will conclude February 12, 2015. During this certification period, firms with more than one IARD/FINRA login must certify that all users have the appropriate entitlement privileges to perform their job responsibilities. Please note that if user accounts are not certified by the deadline, then the capability to edit accounts will be eventually disabled. Even if you miss the deadline, then you can usually still complete the process assuming you are able to login. You can refer to the Annual Entitlement User Accounts Certification Process website for additional information, but we have provided step-by-step instructions below.
Step 1. Log into your FINRA account HERE.*
*If you no longer have access to your user name and password, the only way to reset it is to call FINRA directly. The number to call is (240) 386-4848 and once dialed you will be prompted to dial #1 on your phone, which will connect you with a FINRA representative who will assist you in generating a temporary password.
Step 2. Once logged into FINRA, please select the black “Click here to begin User Accounts Certification Process” hyperlink. `If the hyperlink is not available, then please proceed to the next step.`
Step 3. On the next page, scroll to the bottom of the page and check the box that says “I have reviewed and validated the account information for the users in my organization for this certification period”, then click the “Continue” button.
Step 4. Review and click the “Agree” button.
Step 5. You will be taken to a confirmation screen with the following message: “Thank you. Your organization has successfully completed the 2015 FINRA Entitlement User Accounts Certification Process.”
For more information on the process, check out FINRA’s Entitlement User Accounts Certification Process Quick Reference Guide. As RIA compliance consultants, we strongly recommend that all registered investment advisory firms also review all the relevant individual and firm registration requirements to ensure proper regulatory compliance.