Our last newsletter, dated September 16, 2011, made reference to a FINRA communication that was being sent out to all Super Account Administrators (SAA's) regarding an Annual  User Account Certification Process.  In order to assist you with this process, we have tried to obtain additional information/details.

We have determined the following:

• The SAA and Executive Representative for every firm will receive an e-mail in November with specific instructions and links to complete the certification process.  We do not know the exact date in November that it will be sent out.
• The e-mail notification link to initiate the process will also display a list of users for each firm.  Access for each user must be reviewed and verified or edited.
• The process MUST be completed within 30 days of receiving the e-mail notification.
• If the process is not completed, the capability to create or edit accounts will be disabled for ALL Administrators within the firm, until such time as the certification process is completed. 
• The Certification Process MUST be completed under the SAA login.  Although we are an Administrator for your firm, we are not the SAA. If you would like for us to complete the process for you:

1. Please log into your account to ensure your user account is current and that your password does not need to be reset.
2. Forward the e-mail notification you receive from FINRA to wanda@pcompliance.com  along with your IARD User ID and Password.
3. We will complete the certification process for you and send you an e-mail notification once it has been completed.

If you choose to complete the process yourself, please send us an e-mail confirmation once it has been completed.

Thank you for your cooperation in this process.  It is very important that you follow the instructions outlined in order to ensure ongoing functionality for all Administrators on your account, including PCA.  What this means is that if this Certification Process is not completed in a timely manner, we will not be able to execute any filings for you.  This could have severe consequences for your firm!

Please let us know if you have any questions.

Karen