Webinar Series: 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 during this webinar series as we discuss topics related to the following areas:
- transitioning registration compliance workflows to FINRA Gateway,
- continuing education platform changes,
- collaborating with associated individuals via FinPro, and
- enhancing firm recruiting with FIND.
Session-specific webinar details will be provided on the topic pages below as dates are announced. All webinars will include a demo of relevant system functionality and time for a Q&A. Please send questions before, during and after the webinar via email.
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Upcoming Webinars
Check back for future webinars.
Previous Webinars
CRD and FINRA Gateway: Classic CRD Form U4 Will Retire April 2021
FINRA is integrating the registration filing functionality that supports the CRD Program into FINRA Gateway. The deployment of registration compliance tools will be incremental over time, so firms should expect to use both Classic CRD and FINRA Gateway until the integration is complete.
Form U4 filing is now available in both FINRA Gateway and Classic CRD. Firms are encouraged to begin using FINRA Gateway to file Form U4 in preparation for the retirement of Classic CRD Form U4 filing capabilities on April 5, 2021. See the Registration Filing in FINRA Gateway page for more details, including enhancements to the FINRA Gateway Form U4.
Enhanced U4 Online Filing Experience
During this webinar, FINRA discusses recently-deployed enhancements to Form U4 filings in FINRA Gateway. In addition to answering user questions, staff highlights tools and provides updates.
View the recording and the presentation slides from the November 2020 session.
Introduction to the Financial Industry Networking Directory (FIND) & Transitioning to FinPro
This webinar provides insight on how firms can use FinPro to support onboarding practices, including how to transition recruits from the Financial Industry Networking Database (FIND) to the platform.
View the recording and the presentation slides from the June 2020 session.
Leveraging FinPro for Streamlined Compliance
This webinar provides an overview of current FinPro features and includes a demonstration of how representatives will leverage FinPro as part of the enhanced “Allow Rep Edits” feature that will be available later this year.
View the recording and the presentation slides from the June 2020 session.
Moving From CRD to the New FINRA Gateway
This webinar demonstrates the transition from CRD to FINRA Gateway using real work scenarios.
View the recording and the presentation slides from the June 2020 session.