As part of our commitment to helping firms meet their regulatory obligations, we developed and continue to enhance the Firm Gateway – a single point of service allowing firms to quickly comply with rules, gather information, and interact with FINRA.
The Firm Gateway provides:
- Consolidated access to regulatory applications and filings, and FINRA’s electronic billing system
- One-click quick access to common tasks, useful resources and key firm information
- An at-a-glance view of important filing dates, tasks and events
- Centralized FINRA Information Requests
The applications and filings that firms can access through the Firm Gateway include: Web CRD, IARD, OATS, Report Center and virtually all electronic regulatory filing applications, including FOCUS, Firm Profile, FINRA Contact System, and 4530 Customer Complaints.
July 23, 2016
- Enhancement: Filing reminders are grouped by their due date and type.
May 14, 2016
- Enhancement: Filing reminders support for email and multiple calendar types.
- Enhancement: Accounting Portlet support for the enhanced E-Bill application.
January 29, 2016
- Enhancement: Firm Gateway is now available for Funding Portals
December 19, 2015
- Enhancement: Decommissioning of Futures Commission Merchant (FCM) application.
September 26, 2015
- Enhancement: Launched Systems Information page
- Enhancement: Increased reliability of Firm Gateway login
May 23, 2015
- Enhancement: Launched User Feedback Community sign-up through the “Join Now” portlet.
- Fix: Add to Outlook from Announcement was stored in GMT instead of Local time.
April 25, 2015
- Fix: Home tab blank screen for IA Only Firms.
March 28, 2015
- Enhancement: Header section now shows User ID
- Enhancement: Home Page changes as below:
- Added “Education Links” portlet to the home page
- Simplified the “Do you have a question” portlet
- Updated “Resources” portlet
- Removed “Upcoming Rule Filings” portlet
January 10, 2015
- Fix: Removed the 3012 filing reminder entries
- Fix: Printing issue on Report Center