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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

Leveraging FinPro and FIND Webinar

Learn more about how firms can use FinPro to support onboarding practices, including how to transition recruits from the Financial Industry Networking Directory (FIND) to FinPro.

Leveraging FinPro and FIND Webinar Presentation Slides – June 2020

Leveraging FinPro and FIND Webinar Recording:

Leveraging FinPro (U4) Webinar

This webinar provides an overview of current FinPro features and includes a demonstration of the enhanced "Allow Rep Edits" feature that will be available later this year. More information about the U4 filing experience that will become available this fall in FINRA Gateway and FinPro is available on the Enhanced U4 Filing Experience webinar page.

Leveraging FinPro (U4) Webinar Presentation Slides – June 2020

Leveraging FinPro (U4) Webinar Recording:

Leveraging FinPro Webinar (General Overview)

During the webinar, FINRA staff discussed:

  • a review of content covered during previous webinars;
  • 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 (General Overview) Webinar Presentation Slides

Leveraging FinPro (General Overview) Webinar Recording: