• CCG

FINRA's Annual Entitlement User Accounts Certification Process




FINRA designates a period every year during which in-scope SAAs must certify that a review of FINRA system access for all users and administrators within their organization has been completed. The 2020 certification period is April 20 – July 20.


SAAs should confirm that enterprise-wide access to FINRA systems adheres to the following best practices:

  • each individual has a continuing need to access application(s) accessed through the FINRA Entitlement Program on the organization's behalf;

  • each individual is entitled only to the applications and privileges needed to perform current job responsibilities;

  • access to sensitive data (e.g., Criminal History Record Information (CHRI), Social Security or tax identification numbers, dates of birth) is only given to those who require it; and

  • accounts are modified or deleted in a timely fashion when individuals no longer require access.

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