FINRA Entitlement Screw Up

posted in: Compliance | 0

As if things weren’t confusing enough . . .


You may have received a test email that was sent in error this morning with the subject line ‘Past Due: FINRA Entitlement User Accounts Certification’. The body of this email read ‘past due text’. Please disregard this email. We apologize for any confusion this may have caused.

If you have questions regarding your firm’s entitlement certification status, please send an email to or call the Gateway Call Center at (301) 869-6699 for broker-dealer firms or (240) 386-4848 for investment adviser firms. Thank you.