2024 SAA Certification Entitlement

April 12, 2024

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The FINRA 2024 Entitlement Certification period will begin on Monday, April 15. This is when FINRA begins requiring all Super Account Administrators (“SAA”) to certify the other administrators and users with accounts on the IARD/Web CRD system. The SAA for your investment adviser firm has the ability to create/delete other administrators and user accounts. An administrator can create/delete user accounts. For more information about the importance and responsibilities of the SAA, see the following website: https://www.finra.org/filing-reporting/entitlement/super-account-administrator-saa

FINRA’s process is to send the SAA multiple reminders/requests to complete the annual certification before locking out accounts. If you are your firm’s SAA, we recommend you take immediate action to complete the certification and avoid being locked out of your account. If you do not complete the certification process, FINRA will de-activate your firm’s IARD/Web CRD account and you will lose all functionality.

As the SAA, you simply need to follow the instructions contained in the email(s) you receive from FINRA. You will need to log in with your IARD username and password to complete the process which should take about one or two minutes once you are logged in.

If you have trouble logging into the system or cannot find your password or security challenge responses, you will need to call the IARD hotline at 240-386-4848 for assistance.

Posted by RCC
Labels: IARD