New Entitlement Process for Firms Changing Their SAA

Effective November 19, 2014, FINRA will implement new controls to enhance the security of the entitlement process for firms seeking to replace their Super Account Administrator (SAA) or update a current SAA’s information. If your firm is not seeking to change its SAA or update the name or email address of the current SAA, no action is required at this time.

Under the new entitlement process, firms must complete an Update/Replace SAA Form to replace or update the name or email address of their current SAA. This new form is not available online and must be requested by an Authorized Signatory of your organization by contacting FINRA’s Gateway Call Center.