New Hampshire IARD Entitlement Forms
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FAQ
A: FINRA Entitlement is the process by which a user is granted secure access to a participating FINRA Web Application(s) by a Super Account Administrator (SAA) or an Account Administrator (AA) who maintains that account.
What is the Annual Entitlement Certification? FINRA designates a period every year during which in-scope SAAs must certify that a review of access to systems on the FINRA Entitlement Platform for all users and administrators within their organization has been completed.
FINRA is authorized by Congress to protect America's investors by making sure the broker-dealer industry operates fairly and honestly. We oversee more than 624,000 brokers across the country?and analyze billions of daily market events.
You can find forms and information about setting up an IARD Account on the FINRA's website .iard.com. Click on "How to Access IARD," located on the left side of the screen, and print off an SEC Adviser Entitlement Information Packet and a New Organization SAA Entitlement Form & Instructions.
If you are uncertain whether your organization has an FEA on file with FINRA, contact the FINRA Entitlement Group at (240) 386-4185.
The Investment Adviser Registration Depository (IARD) is an electronic filing system for Investment Advisers sponsored by the Securities and Exchange Commission (SEC or Commission) and North American Securities Administrators Association (NASAA), with FINRA serving as the developer and operator of the system.
You will receive an email with a temporary password that you can use to sign in to your account and then change your password. If you cannot wait for your account to unlock automatically, you can contact the FINRA Support Center at 301-590-6500 to request a password reset.
