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ARTICLE · 16 JULY 2021

FINRA Entitlement Certification Due By July 19, 2021

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The 2021 FINRA Entitlement Certification period for broker-dealers, funding portals, investment advisers and US-based regulators that participate in the FINRA Entitlement program commenced on April 19, 2021...

United StatesFinance and Banking
Ayah K. Zaidi
Ayah K. Zaidi
Meredith Haviland
Meredith Haviland
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The 2021 FINRA Entitlement Certification period for broker-dealers, funding portals, investment advisers and US-based regulators that participate in the FINRA Entitlement program commenced on April 19, 2021 and ends on July 19, 2021. FINRA recommends that every organization perform periodic system access reviews to confirm that individuals have the appropriate level of entitlement required to perform their job responsibilities or remove access if no longer needed. In addition to this recommendation, FINRA requires Super Account Administrators (SAAs) of firms with other user and/or administrator accounts to complete the Entitlement Certification. These SAAs must certify that a review of access to systems on the FINRA Entitlement platform for all users and administrators within their organization has been completed.

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