{"id":1021,"date":"2026-07-29T02:11:34","date_gmt":"2026-07-29T02:11:34","guid":{"rendered":"https:\/\/ics-compliance.com\/?p=1021"},"modified":"2026-07-29T02:11:34","modified_gmt":"2026-07-29T02:11:34","slug":"finra-tightens-identity-verification-controls","status":"publish","type":"post","link":"https:\/\/ics-compliance.com\/es\/2026\/07\/29\/finra-tightens-identity-verification-controls\/","title":{"rendered":"FINRA Tightens Identity Verification Controls"},"content":{"rendered":"<p>[et_pb_section bb_built=&#8221;1&#8243; fullwidth=&#8221;on&#8221; _builder_version=&#8221;4.21.2&#8243; vertical_offset_tablet=&#8221;0&#8243; horizontal_offset_tablet=&#8221;0&#8243; box_shadow_horizontal_tablet=&#8221;0px&#8221; box_shadow_vertical_tablet=&#8221;0px&#8221; box_shadow_blur_tablet=&#8221;40px&#8221; box_shadow_spread_tablet=&#8221;0px&#8221; global_colors_info=&#8221;{}&#8221; next_background_color=&#8221;#000000&#8243;][et_pb_fullwidth_header title=&#8221;ICS Insights&#8221; subhead=&#8221;FINRA Tightens Identity Verification Controls&#8221; 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quote_text_shadow_vertical_length=&#8221;quote_text_shadow_style,%91object Object%93&#8243; quote_text_shadow_blur_strength=&#8221;quote_text_shadow_style,%91object Object%93&#8243; header_text_shadow_horizontal_length=&#8221;header_text_shadow_style,%91object Object%93&#8243; header_text_shadow_vertical_length=&#8221;header_text_shadow_style,%91object Object%93&#8243; header_text_shadow_blur_strength=&#8221;header_text_shadow_style,%91object Object%93&#8243; header_2_text_shadow_horizontal_length=&#8221;header_2_text_shadow_style,%91object Object%93&#8243; header_2_text_shadow_vertical_length=&#8221;header_2_text_shadow_style,%91object Object%93&#8243; header_2_text_shadow_blur_strength=&#8221;header_2_text_shadow_style,%91object Object%93&#8243; header_3_text_shadow_horizontal_length=&#8221;header_3_text_shadow_style,%91object Object%93&#8243; header_3_text_shadow_vertical_length=&#8221;header_3_text_shadow_style,%91object Object%93&#8243; header_3_text_shadow_blur_strength=&#8221;header_3_text_shadow_style,%91object Object%93&#8243; header_4_text_shadow_horizontal_length=&#8221;header_4_text_shadow_style,%91object Object%93&#8243; header_4_text_shadow_vertical_length=&#8221;header_4_text_shadow_style,%91object Object%93&#8243; header_4_text_shadow_blur_strength=&#8221;header_4_text_shadow_style,%91object Object%93&#8243; header_5_text_shadow_horizontal_length=&#8221;header_5_text_shadow_style,%91object Object%93&#8243; header_5_text_shadow_vertical_length=&#8221;header_5_text_shadow_style,%91object Object%93&#8243; header_5_text_shadow_blur_strength=&#8221;header_5_text_shadow_style,%91object Object%93&#8243; header_6_text_shadow_horizontal_length=&#8221;header_6_text_shadow_style,%91object Object%93&#8243; header_6_text_shadow_vertical_length=&#8221;header_6_text_shadow_style,%91object Object%93&#8243; header_6_text_shadow_blur_strength=&#8221;header_6_text_shadow_style,%91object Object%93&#8243;]<\/p>\n<h2><strong>SEC and FINRA have recently announced several regulatory and procedural enhancements designed to improve transparency, strengthen cybersecurity, and enhance the integrity of the regulatory process.<\/strong><\/h2>\n<p>One of the most significant operational changes is FINRA&#8217;s implementation of identity verification through ID.me for users of the FINRA Entitlement Platform. This new requirement is intended to strengthen cybersecurity, protect sensitive regulatory information, and reduce the risk of unauthorized access to FINRA systems. Users who meet FINRA&#8217;s identity verification<br \/>criteria will be required to complete this process in order to maintain access to applicable FINRA<br \/>systems.<\/p>\n<h3><strong>What This Means for Your Firm<\/strong><\/h3>\n<p>FINRA will implement the new identity verification requirements through a phased rollout based<br \/>on organization type:<\/p>\n<ul>\n<li>On May 11, 2026: The rollout began for Investment Adviser (IA) Firms, Service Providers, and Regulators.<\/li>\n<li>Beginning September 28, 2026: The rollout will begin for the Broker-Dealer (BD) community, including Broker-Dealers, Joint BD\/IA Firms, and Funding Portals.<\/li>\n<\/ul>\n<p>Users will receive an email notification from FINRA approximately one week before they are required to complete identity verification. Because the rollout is phased, not all users within the same organization will be required to verify on the same date, and individuals with multiple<\/p>\n<p>FINRA Entitlement accounts may be asked to verify each account separately.<\/p>\n<p>To help ensure a smooth verification process, FINRA recommends having the following<br \/>available before you begin:<\/p>\n<ul>\n<li>A valid government-issued photo ID (driver&#8217;s license, state-issued ID, or passport)<\/li>\n<li>Your Social Security Number, if applicable<\/li>\n<li>A smartphone with a camera or a computer\/tablet with a webcam<\/li>\n<li>A stable internet connection<\/li>\n<li>A personal email address for your ID.me account (rather than a business email address)<\/li>\n<li>If you already have an ID.me account, do not create a new one\u2014simply use your existing credentials.<\/li>\n<\/ul>\n<h3><strong>Frequently Asked Questions<\/strong><\/h3>\n<p><strong>What if I do not have a U.S. passport?<\/strong><br \/>If you are a non-U.S. resident, you may generally use a valid foreign passport to complete the verification process. Depending on your residency status, FINRA may also require a live video verification and, in some cases, proof of address.<\/p>\n<p><strong>What if I do not have a Social Security Number?<\/strong><br \/>International users who do not have a Social Security Number will be guided through an alternative verification process. Depending on your circumstances, you may be asked to provide additional documentation, such as proof of your international address, and complete a live video verification.<\/p>\n<p><strong>What if I already have an ID.me account?<\/strong><br \/>If you already use ID.me to access another government agency, such as the IRS or Social Security Administration, you should use your existing account. FINRA recommends maintaining only one ID.me account.<\/p>\n<p><strong>What if I cannot complete the online verification?<\/strong><br \/>If the automated verification process cannot verify your identity, ID.me will provide instructions for completing verification through a secure live video call with a verification agent. In limited circumstances, in-person verification may also be available.<\/p>\n<p>If you have questions regarding these new requirements or would like assistance preparing for the rollout, please contact your ICS representative.<\/p>\n<p><strong>For additional information, please visit:<\/strong><\/p>\n<p>FINRA Identity Verification: <a href=\"https:\/\/www.finra.org\/filing-reporting\/entitlement\/identity-verification\" target=\"_blank\" rel=\"noopener\">https:\/\/www.finra.org\/filing-reporting\/entitlement\/identity-verification<\/a><br \/>ID.me Help Center (24\/7 Support): <a href=\"https:\/\/help.id.me\" target=\"_blank\" rel=\"noopener\">https:\/\/help.id.me<\/a><\/p>\n<p>[\/et_pb_text][\/et_pb_column][\/et_pb_row][\/et_pb_section]<\/p>\n","protected":false},"excerpt":{"rendered":"<p>SEC and FINRA have recently announced several regulatory and procedural enhancements designed to improve transparency, strengthen cybersecurity, and enhance the integrity of the regulatory process.One of the most significant operational changes is FINRA&#8217;s implementation of identity verification through ID.me for users of the FINRA Entitlement Platform. 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Object%93\" link_text_shadow_blur_strength=\"link_text_shadow_style,%91object Object%93\" ul_text_shadow_horizontal_length=\"ul_text_shadow_style,%91object Object%93\" ul_text_shadow_vertical_length=\"ul_text_shadow_style,%91object Object%93\" ul_text_shadow_blur_strength=\"ul_text_shadow_style,%91object Object%93\" ol_text_shadow_horizontal_length=\"ol_text_shadow_style,%91object Object%93\" ol_text_shadow_vertical_length=\"ol_text_shadow_style,%91object Object%93\" ol_text_shadow_blur_strength=\"ol_text_shadow_style,%91object Object%93\" quote_text_shadow_horizontal_length=\"quote_text_shadow_style,%91object Object%93\" quote_text_shadow_vertical_length=\"quote_text_shadow_style,%91object Object%93\" quote_text_shadow_blur_strength=\"quote_text_shadow_style,%91object Object%93\" header_text_shadow_horizontal_length=\"header_text_shadow_style,%91object Object%93\" header_text_shadow_vertical_length=\"header_text_shadow_style,%91object Object%93\" header_text_shadow_blur_strength=\"header_text_shadow_style,%91object Object%93\" header_2_text_shadow_horizontal_length=\"header_2_text_shadow_style,%91object Object%93\" header_2_text_shadow_vertical_length=\"header_2_text_shadow_style,%91object Object%93\" header_2_text_shadow_blur_strength=\"header_2_text_shadow_style,%91object Object%93\" header_3_text_shadow_horizontal_length=\"header_3_text_shadow_style,%91object Object%93\" header_3_text_shadow_vertical_length=\"header_3_text_shadow_style,%91object Object%93\" header_3_text_shadow_blur_strength=\"header_3_text_shadow_style,%91object Object%93\" header_4_text_shadow_horizontal_length=\"header_4_text_shadow_style,%91object Object%93\" header_4_text_shadow_vertical_length=\"header_4_text_shadow_style,%91object Object%93\" header_4_text_shadow_blur_strength=\"header_4_text_shadow_style,%91object Object%93\" header_5_text_shadow_horizontal_length=\"header_5_text_shadow_style,%91object Object%93\" header_5_text_shadow_vertical_length=\"header_5_text_shadow_style,%91object Object%93\" header_5_text_shadow_blur_strength=\"header_5_text_shadow_style,%91object Object%93\" header_6_text_shadow_horizontal_length=\"header_6_text_shadow_style,%91object Object%93\" header_6_text_shadow_vertical_length=\"header_6_text_shadow_style,%91object Object%93\" header_6_text_shadow_blur_strength=\"header_6_text_shadow_style,%91object Object%93\"]<\/p><div class=\"clearfix text-formatted field field--name-field-news-body field--type-text-long field--label-hidden field__item\"><div><p>Washington D.C., Jan. 7, 2026 \u2014<\/p><\/div><div><p>The Securities and Exchange Commission today proposed amendments to the rules that define which registered investment companies, investment advisers, and business development companies qualify as small entities for purposes of the Regulatory Flexibility Act (RFA).<\/p><p>The RFA requires federal agencies to conduct certain analyses, with the goal of minimizing the significant economic impact of federal rulemaking on small entities. This proposal would raise the small entity thresholds for investment companies and advisers. It is designed to help the Commission better tailor its analyses to address the specific regulatory challenges that these small entities face and consider adapting its rulemaking accordingly.<\/p><p>\u201cThe Commission has a longstanding commitment to understanding and addressing the concerns of small entities,\u201d said SEC Chairman Paul S. Atkins. \u201cToday\u2019s proposal \u2013 consistent with the SEC\u2019s intent to modernize regulatory requirements \u2013 would further this commitment by more accurately capturing the types and numbers of investment advisers and investment companies that are \u2018small.\u2019 This, in turn, would help the Commission more appropriately promote the effectiveness and efficiency of its regulations, with the goal of minimizing the significant economic impact on small entities.\u201d<\/p><p>Specifically, this proposal would:<\/p><ul><li>Increase the asset-based thresholds under which investment companies and investment advisers are deemed small entities;<\/li><li>Update the way that related funds\u2019 assets are aggregated for purposes of defining small entities; and<\/li><li>Provide for inflation adjustments to the asset-based thresholds by order every 10 years.<\/li><\/ul><p>The proposing release will be published in the Federal Register. The public comment period will remain open until 60 days after the date of publication of the proposing release in the Federal Register.<\/p><p>Source: SEC.gov<\/p><p>For more detailed information visit:\u00a0<\/p><p><a href=\"https:\/\/www.sec.gov\/newsroom\/press-releases\/2026-1-sec-proposes-amendments-small-entity-definitions-investment-companies-investment-advisers-purposes\" target=\"_blank\" rel=\"noopener\" data-saferedirecturl=\"https:\/\/www.google.com\/url?q=https:\/\/www.sec.gov\/newsroom\/press-releases\/2026-1-sec-proposes-amendments-small-entity-definitions-investment-companies-investment-advisers-purposes&amp;source=gmail&amp;ust=1769713076023000&amp;usg=AOvVaw0EP6ClliTq0-yPwU5ZFPzx\">https:\/\/www.sec.gov\/newsroom\/<wbr \/>press-releases\/2026-1-sec-<wbr \/>proposes-amendments-small-<wbr \/>entity-definitions-investment-<wbr \/>companies-investment-advisers-<wbr \/>purposes<\/a><\/p><\/div><\/div><p>[\/et_pb_text][\/et_pb_column][\/et_pb_row][\/et_pb_section]<\/p>","_et_gb_content_width":"","footnotes":""},"categories":[10],"tags":[],"class_list":["post-1021","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-ics-insights"],"_links":{"self":[{"href":"https:\/\/ics-compliance.com\/es\/wp-json\/wp\/v2\/posts\/1021","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/ics-compliance.com\/es\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/ics-compliance.com\/es\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/ics-compliance.com\/es\/wp-json\/wp\/v2\/users\/1"}],"replies":[{"embeddable":true,"href":"https:\/\/ics-compliance.com\/es\/wp-json\/wp\/v2\/comments?post=1021"}],"version-history":[{"count":1,"href":"https:\/\/ics-compliance.com\/es\/wp-json\/wp\/v2\/posts\/1021\/revisions"}],"predecessor-version":[{"id":1022,"href":"https:\/\/ics-compliance.com\/es\/wp-json\/wp\/v2\/posts\/1021\/revisions\/1022"}],"wp:featuredmedia":[{"embeddable":true,"href":"https:\/\/ics-compliance.com\/es\/wp-json\/wp\/v2\/media\/588"}],"wp:attachment":[{"href":"https:\/\/ics-compliance.com\/es\/wp-json\/wp\/v2\/media?parent=1021"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/ics-compliance.com\/es\/wp-json\/wp\/v2\/categories?post=1021"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/ics-compliance.com\/es\/wp-json\/wp\/v2\/tags?post=1021"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}