Technology shouldn't slow you down—it should make you more efficient. That's why FINRA has launched the new FINRA Gateway.
The new compliance portal, powered by FINRA's Digital Experience Transformation, is designed to streamline the FINRA compliance and reporting experience by providing a more flexible solution that can be customized to target your specific needs.
The new system, which is being implemented in stages, focuses on compliance functions, such as research, reporting and responding to requests, rather than on compliance systems. This will ultimately help you perform your compliance tasks more efficiently. The system also provides users with quick links to the 'Classic' FINRA applications and features you are accustomed to using that have not yet migrated to the new system.
How Is FINRA Gateway Doing This?
- The Dashboard: Streamlined navigation will get you to the work or information you need faster.
- Requests & Filings: A list of all digital FINRA requests and work due, as well as draft and historic filing information, consolidated in a single place—with the ability to search and save filtered and sorted views.
- Profiles: Unique Firm, Branch and Individual profiles allow for better navigation and quick access to the forms you need, when you need them.
- Reports: A new dynamic and customized reporting capability allows you to create, save and export your registered individual and branch information. Learn more about FINRA Gateway Reports.
- Support: Have issues along the way? Quickly submit your support issues online through the system rather than on the phone.
- Quick Links: Direct links back to the "Classic" FINRA applications and features you are accustomed to using, enabling you to transition to the new features on your timeline.
- Data Entry/Filings: Starting with the enhanced Form U4 experience, data entry is easier with a more user friendly and streamlined experience, including the ability to capture electronic signatures.
- Recently Viewed: A record of historic places you have visited to make it easier to get back to what you were doing.
- Admin: Users now have the ability to control both user and firm settings in one easy to find location.
- Notifications: System-generated notifications will be modernized and centralized, beginning with new optional regulatory element CE notifications sent directly to registered securities professionals who have FinPro accounts. See the Firm Settings Guide for more information.
- Contacts: Quickly get in contact with someone at FINRA who knows your firm, Risk Monitoring Analyst (RMA), Risk Monitoring Director (RMD) and Single Point of Accountability (SPOA). FINRA Contact System contacts coming in June. Learn more about FINRA Gateway Contacts.
What Will FINRA Gateway Ultimately Replace?
- Firm Gateway: FINRA Gateway entirely replaces Firm Gateway, which will remain available at least through the middle of Q3 2021.
- Compliance Calendar: Your firm-specific Compliance Calendar reminders/tasks are now included in the FINRA Requests & Fillings.
- Information Requests: All requests can now be found in FINRA Requests and Filings. You can easily toggle between the Active and Completed tabs or search by Case or Request ID
- Registration Tasks: FINRA Gateway will become the primary way you navigate registration related tasks currently found in Web CRD.
- Other FINRA Regulatory Systems Found in Firm Gateway: New functionality will be released to replace other systems, such as the FINRA Contact System and Web CRD, over time.
IMPORTANT: Several features retired August 21, 2021.
*These dates may change.
How Can I Prepare?
We want your transition to the new FINRA Gateway to be as seamless as possible. When you log in to FINRA Gateway, you will have access to tutorials and quick reference materials.
Before submitting a support ticket, try searching for what you need using the ‘How Can We Help?' menu in FINRA Gateway. Users can find a regularly curated list of time-specific help in the ‘Featured Help' tab.
Join one of our FINRA Gateway webinars to help get you started and to ensure you make the most of the new experience.
Watch our two-minute video tour of FINRA Gateway to learn more about its new features and functionality.
Want to Help Shape the Future?
We heard that firms experienced challenges in managing and accessing FINRA's multiple systems and data sets. That's why FINRA Gateway will put everything in one place—a unified experience.
Find answers to common questions regarding FINRA Gateway. Still have questions? Email us.
Keep track of recent enhancements to FINRA Gateway.
Participate in quick research activities and surveys to help shape the FINRA tools you use on a daily basis. Your feedback can remain anonymous, and there are no right or wrong answers. You can also read about what we have learned from previous user research feedback.