Compliance Solutions for Investment Advisers

Super Account Administrator

Important News from FINRA:

As you may be aware, one of your responsibilities as your firm’s Super Account Administrator (SAA) is to complete the annual FINRA Entitlement User Accounts Certification Process. This certification process–which for 2013 begins Jan. 14 and ends Feb. 13–requires a review of your firm’s user accounts and appropriate action to ensure that, on your organization’s behalf:

— each user has a continuing need to access application(s) provided by FINRA;

— users have only the application privileges they need to perform current job responsibilities; and

 — only users who require access to sensitive data (e.g., criminal history record information, Social Security or tax identification numbers, dates of birth) have access to this type of data.

If you would like to expedite the process and begin reviewing your firm’s individual user accounts prior to Jan. 14, you can do so at any time using the Account Management application (refer to FINRA’s certification process page for more information). Please Note: While you can conduct your review prior to Jan. 14, you will not be able to access the User Account Certification link to complete your firm’s certification until you receive an email on Jan. 14 announcing that the certification period has begun.

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