The FINRA Entitlement Program provides authorized users a secure means to access participating applications with a single user ID and password. Once an investment adviser (IA) firm completes the entitlement process, it will obtain access to the IARD system in order to register or file as an exempt reporting adviser via this secure system, which FINRA operates on behalf of the Securities and Exchange Commission (SEC) and the North American Securities Administrators Association (NASAA).
The Entitlement Program requires that each firm designate a Super Account Administrator (SAA), who will have the authority to create, modify and delete account administrator and user accounts for most FINRA applications. IA firms seeking SEC-registration, state-registration or filing as an exempt reporting adviser must request access to IARD/Web CRD by completing and submitting the New Organization SAA Form and completing the entitlement process as outlined in the applicable Entitlement Information Packet:
Once FINRA receives the New Organization SAA Form and the SAA is established in the system, FINRA will send a confirmation email to the Authorized Signatory who signed the form and to the SAA. The new SAA will receive two emails: one with his/her user ID and one with the temporary password. Both emails will have a link to the SAA Confirmation Packet.
If you do not know who your organization's SAA is, log onto the Firm Gateway, select the My Account link and view information on the Applications & Administrations tab.
2016 Annual Entitlement User Accounts Certification Period
FINRA's annual user accounts certification process commences January 11, 2016, and ends February 11, 2016. During this 30-day period, Super Account Administrators (SAAs) for firms with more than one user must certify that users at their firm who require access to applications in FINRA's Entitlement Program have the appropriate entitlement privileges to perform their job responsibilities. Please visit the Annual Entitlement User Accounts Certification Process Web page and the FINRA Entitlement Program - Super Account Administration Web page for more information.
Questions regarding the Entitlement Program and Certification Process should be directed to the IARD Call Center at (240) 386-4848.
What Follows Once You Have an IARD Account
Covers the remaining steps your firm needs to take once its IARD User Account has been established.
What Filing Type Do You Choose
Guidance is provided for determining your firm's first filing through the IARD system.