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Webinar: Leveraging FinPro for Streamlined Compliance

As part of the Registration System Changes webinar series, FINRA is hosting webinars to discuss the benefits of the Financial Professional Gateway (FinPro), a platform of growing compliance tools for your firm's associated individuals.

Webinars in this series will include a demonstration as well as a Q&A. Please send your questions before, during and after the webinar via email. Subscribe to the FINRA Registration and Licensing email list if you would like to receive notifications about similar future events.

Check back for additional webinar dates and resources.


Webinar Resources

May 2020 Webinar

During the webinar, FINRA staff discussed:

  • a review of content covered during the last webinar and answers to questions received afterwards;
  • a demonstration of the upcoming system changes that will allow all registered industry professionals—including those without a US SSN—to use FinPro;
  • a walkthrough of the entire account creation process; and
  • more information about the transition of CE Online to the platform, U4 collaboration, and other future system milestones.

Leveraging FinPro Webinar Presentation Slides – May 2020

Leveraging FinPro Webinar Recording - May 2020

 

March 2020 Webinar

During the webinar, FINRA staff discussed:

  • features currently available to registered representatives in FinPro;
  • analyzing FinPro data in FINRA Gateway;
  • onboarding support and other resources; and
  • upcoming changes, including details about future features and milestones. 

Leveraging FinPro Webinar Presentation Slides – March 2020

Leveraging FinPro Webinar Recording - March 2020