2021 Annual FINRA User Account Entitlement Certification

Did you receive an email from FINRA about an annual certification process? If so, your firm has more than one user on the IARD/CRD* , and as the Super Account Administrator (SAA) you need to verify that users listed should remain active. *This is not the same as more than one IAR registered with your firm! The two are unrelated. This is about those with access to draft and submit filings like the Form ADV, U-4 etc. If you are a CS2 Compliance client, we may have a user account. (Unless we... For details, click here: https://community.cs2compliance.com/event/2021-annual-finra-user-account-entitlement-certification https://community.cs2compliance.com/event/2021-annual-finra-user-account-entitlement-certification