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New Organization Super Account Administrator (SAA

New Organization agreement Instructions New Organization Super Account Administrator (SAA) Form & FINRA Entitlement agreement (FEA). Instructions Use this form when your Organization is: 1) New and requires access to systems owned or maintained by FINRA. 2) An existing Investment Adviser (IA) firm that has not yet filed its initial Form ADV and needs to replace its SAA. 3) An existing Investment Adviser (IA) firm applying to be a broker -dealer firm 4) An existing BD/CAB firm applying to be a joint BD/IA or CAB/IA firm 5) An existing Relying Adviser firm applying to be an IA firm - Note: Use your Relying Adviser Organization ID#.

New Organization Agreement Instructions New SAA Agreement Instructions Ver. 4 – 1/23/2018 Page 1 of 2 New Organization Super Account Administrator (SAA) Form ... Broker-Dealer (BD) and CAB Firms: An Authorized Signatory is the Chief Compliance Officer (CCO) or authorized officer (or

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