Coast to coast
compliance
The 2024 FINRA Entitlement Certification period is open and must be completed on or before June 17, 2024. If you are a FINRA Super Account Administrator (SAA), you have until this date to review, validate, and certify your organization's accounts.
When certifying accounts, consider the following:
• Access matching their current job responsibilities
• Users who require access to sensitive data are the only ones who are entitled to access it
• Recent usage demonstrating continuing need for access
• Deleting unused accounts
SAAs Who Manage Other User(s) and/or Administrator Accounts:
Required to certify. If certification of accounts is not complete by the due date, administrators lose the ability to create accounts, create and assign roles, and edit or import entitlements and will remain disabled until certification is complete. Additionally, failure to certify will result in regulatory follow up and suspension of all the organization's FINRA Entitlement Program accounts.
SAAs Who Do Not Have Other User(s) and/or Administrator Accounts:
Option to certify. The SAA's account will not be disabled for failure to certify and there will be no follow up from FINRA or other regulators.
Please visit the FINRA Annual Entitlement Certification Process page for complete information on why certification is required.
Coast to Coast Compliance is ready to assist you ensure thorough and timely completion of your 2024 FINRA Entitlement Account Certifications. Reach out to us before the June 17th deadline!
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