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 FINRA-administered applications. IA firms seeking SEC registration, state registration or filing as an exempt reporting adviser must request access the IARD CRD systems by completing and submitting the New Organization SAA Agreement:
- New Organization SAA Entitlement Agreement & Instructions (used by SEC or State-Registered Advisers)
- Please note: Firms should plan to submit their initial Form ADV within five (5) months of submitting the New Organization SAA Agreement. If no ADV filing activity occurs within this timeframe, the firm’s user accounts will be deleted unless FINRA is contacted about the Form ADV status. If accounts are deleted, the firm must resubmit the New Organization SAA Agreement to regain access.
- SEC Adviser Entitlement Information
- State Registrant Entitlement Information
Once FINRA receives the New Organization SAA Agreement and the SAA is established in the system, FINRA sends a confirmation email to the Authorized Signatory who signed the Agreement and to the SAA. The new SAA will receive two emails: one with the user ID and one with a link to activate your password. Both emails will have a link to the FINRA Entitlement web page.
Questions regarding the Entitlement Program and should be directed to the IARD Call Center at (240) 386-4848.
Additional information is available on the following pages:
Questions?
Contact the IARD Call Center: (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.
Looking for Your Firm’s SAA?
If you do not know who your organization's SAA is, log onto the FINRA Gateway, select the My Account link and view information on the Applications & Administrations tab.