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FINRA Gateway Webinars

Register to attend upcoming webinars which will introduce features of FINRA Gateway, the new FINRA reporting and compliance user experience—designed to streamline compliance functions to help you do your job more efficiently. The new system, powered by FINRA's Digital Experience Transformation (DXT) initiative will roll out over the coming months. Each webinar will cover a wide variety of topics and include a demonstration.
 

Upcoming Webinars


No upcoming webinars scheduled at this time.

Please check back regularly for updates.


Previous Webinars


Account Management: Annual Super Account Administrator (SAA) Certification

FINRA's User Accounts Certification Process for Super Account Administrators (SAAs) is scheduled for June 1 – August 31. During this period, SAAs for organizations must certify that authorized users are only entitled to those privileges/roles necessary to perform their job responsibilities using FINRA systems. If an individual no longer requires access, remove the appropriate entitlement(s) or delete their account.

The 2022 certification process is available in FINRA Gateway and this webinar walks you through the process, so you are familiar with the screens prior to certification.

View the recording and the presentation slides from the June 2022 session:


Account Management: Roles

After months of research and development, the Role feature has been made available to users. This new feature will allow you to group entitlements into a role and better manage your users and their entitlements. This webinar demos the new functionality and provides a Q&A. This webinar focuses on the Firm user experience.

View the recording and the presentation slides from the May 2022 session:


FINRA Account Details Report for Administrators Webinar

This webinar provided an overview of the new Account Details report that was made available in FINRA Gateway for Super Account Administrators and Account Administrators beginning Feb. 28, 2022. The Account Details report includes information about an organization’s system accounts, including their entitlements, last login date and other relevant details.

View the recording and the presentation slides from the February 2022 session:


FINRA Gateway, Feature Highlights: FINRA Account Management System

This webinar highlighted the new FINRA Account Management System which was rolled out at the end of July. There is a walkthrough highlighting the enhancements such as: a facetted search experience, quick actions, improved entitlement navigation, along with helpful resources to use while learning the new system.

View the recording and the presentation slides from the July 2021 session:


FINRA Gateway Reports: Enhancements and New Templates

This webinar highlights updates to FINRA Gateway Reports. The demonstration will cover changes to the Advanced Export feature, Group feature, and Exam Templates. We will also discuss the transition plan for the CRD reports that will be retired in August.

View the recording from the June 2021 session:


FINRA Gateway Reports: New Features and Templates

This webinar highlights updates to FINRA Gateway Reports. The following two new features are demonstrated: 1) the Share feature that allows you to share custom report settings with other FINRA Gateway Report users, and 2) the "Save As" feature for creating multiple iterations of a custom report. Several new report templates are also introduced, including CE templates, 4530 Reporting, Supervising OSJ Branches, and templates for NY firms onboarding IAs.

View the recording and the presentation slides from the March 2021 session.


FINRA Gateway, Feature Highlights:


Dynamic Reporting 101

This webinar highlights FINRA Gateway’s Dynamic Reporting. Dynamic Reporting gives you direct access to your organization's data so you can get immediate answers to common questions. Dynamic Reporting was developed in direct response to customer requests for a more flexible reporting tool. This webinar will provide a walk-through of Dynamic Reporting features and helpful resources to reference when using Dynamic Reporting on your own.

View the recording and the presentation slides from the September 2020 session: 


Dynamic Reporting Use Case Exploration

This webinar highlights FINRA Gateway’s Dynamic Reporting. Dynamic Reporting gives you direct access to your organization's data so you can get immediate answers to common questions. This webinar will provide a walkthrough of Dynamic Reporting use cases such as: tracking FinPro attestations, individuals’ upcoming CE windows, and exam test locations.

A recording of this session will be made available soon.


Requests

This webinar highlights the FINRA Gateway Requests feature. FINRA Requests has recently been updated to improve efficiency when responding to request items. The feature will eventually aggregate all digital FINRA information requests, tasks and filings from various FINRA systems into a single workspace. Learn more about some of its recent enhancements, including simplified filtering, data layout improvements, optional filing creation and viewing historical requests.

A recording of this session will be made available soon.

 


Move Over, Firm Gateway – Introduction to FINRA Gateway

Learn more about the new features and join us for an introduction to FINRA Gateway, the new FINRA reporting and compliance user experience. Each webinar includes a demonstration of the new platform, a discussion of the rollout plan for users, and time for Q&A. Learn more on the FINRA Gateway page. 

View the recording and the presentation slides from the September 2020 session:


Registration System Changes

As FINRA's industry technology developments continue, the systems and work processes used by firms—and industry professionals—to manage registration-related information are also changing. Join us to learn more about transitioning registration compliance workflows to FINRA GatewayFinPro and enhancing firm recruiting with FIND.

See the Registration System Changes Webinar Series page for webinar recordings and upcoming dates.