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 SAA Form contained in the applicable IARD SAA Entitlement Packet:
Once FINRA receives the SAA Form and the SAA is established in the system, FINRA will send a confirmation email to the executive officer 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 initial 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.
New FINRA Login Security Feature
FINRA is implementing a new login security feature for users of FINRA Entitlement applications/systems including IARD and CRD. Effective July 20, 2013, the first time a user logs onto IARD/CRD, the user will be required to select three security questions and provide a response to each question. On subsequent logins, a user may be asked to provide the responses to his/her selected security questions to further verify a user's identity, View the frequently asked questions for details on how to complete this new security process.
Annual Entitlement User Accounts Certification Process
Each year, FINRA designates a 30-day period during which SAAs of organizations with more than one user must certify their user's access to comply with FINRA’s Entitlement User Accounts Certification Process. Please visit the Annual Entitlement User Accounts Certification Process Web page and the FINRA Entitlement Program – Super Account Administrator Web page for complete 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.