Register to attend an upcoming webinar which will introduce 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 covers a wide variety of topics, including a demonstration of the new platform.
Please check this page frequently for webinar updates.
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 provide time for Q&A.
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 Gateway, FinPro and enhancing firm recruiting with FIND.
More webinars will be added for September 2020. Check this website frequently. Learn more on the Registration System Changes Webinar Series page. Please send questions before, during and after the webinar via email.
Enhanced Form U4 Filing – Registration System Changes
Enhanced U4 Webinar Presentation Slides - May 2020
Additional recordings and resources on this topic are available on the Enhanced Form U4 Filing Online Experience Webinar page.
Leveraging FinPro for Streamlined Compliance – Registration System Changes
Additional recordings and resources on this topic are available on the Leveraging FinPro for Streamlined Compliance Webinar page.