Announcements

FINRA’s User Accounts Certification Process for Super Account Administrators (SAAs) is scheduled for April 14, 2025 – June 16, 2025. During this period, SAAs for CAT Firms with one or more user and/or administrator accounts must certify that authorized users are only entitled to those privileges necessary to perform their job responsibilities on the FINRA Entitlement Platform or remove access if no longer required.

As previously communicated, Industry Members must complete an annual certification for Business Clock Synchronization by March 15th of each year.

A copy of the certification form is available 

FINRA CAT requests Industry Member feedback in support of the Plan Processor’s annual review of the Business Clock requirements for the Consolidated Audit Trail. FINRA CAT has prepared a survey of 29 questions for Industry Members to complete regarding their current clock synchronization standards and practices, based on the type of CAT Reporter, type of Industry Member and type of system.

The  2024 User Accounts Entitlement Certification Period for CRAs is September  9 - November 11. During this period, a Certification Representative (CRep) for each organization must certify that accounts with access to CAT applications, data and tools are valid and users are entitled only to the entitlements (privileges) necessary to perform their current job responsibilities.

FINRA’s User Accounts Certification Process for Super Account Administrators (SAAs) is scheduled for April 15, 2024 – June 17, 2024. During this period, SAAs for CAT Firms with one or more user and/or administrator accounts must certify that authorized users are only entitled to those privileges necessary to perform their job responsibilities on the FINRA Entitlement Platform or remove access if no longer required.

As previously communicated, Industry Members must complete an annual certification for Business Clock Synchronization by March 15th of each year.

UPDATED A copy of the certification form is available