• CCG

Do you know who your SAA is for your firm?

Updated: Dec 31, 2019


It may seem obvious but many firms do not know who their Super Account Administrator is for their firm!  This entitlement could have been provided to a manager of a firm, who then leaves the firm without communicating that a change needs to be made.  The Super Account Administrator, or SAA, is part of the FINRA Entitlement Program to provide authorized users access to participating applications on behalf of the Securities and Exchange Commission (SEC) and the North American Securities Administrators Association (NASAA).    Learning how to access the Investment Adviser Registration Depository website, IARD, is important for obtaining information about your organization such as your annual registration fees.

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