Webinar Series: Registration System Changes

Watch previously recorded webinars on demand and learn about the transition of registration compliance and continuing education workflows from FINRA’s legacy registration systems to FINRA’s centralized compliance platform, FINRA Gateway.

CE Transformation: Annual CE System Tools

During this webinar, FINRA staff reviews tools available in FINRA Gateway to assist firms in tracking annual regulatory element compliance.

View the recording and the presentation slides from the July 2023 session.

CE Transformation: January 2023 System Enhancements

During this webinar, FINRA staff demos changes to FINRA Gateway and FinPro in support of CE Transformation.

View the recording and the presentation slides from the December 2022 session.

CE Transformation: The Maintaining Qualifications Program (MQP) Explained

During this webinar, FINRA staff reviews rule changes detailed in Regulatory Notice 21-41 and explains the MQP.

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

CE Transformation: Upcoming Changes to Annual Regulatory Element and Firm Element Requirements

During this webinar, FINRA staff reviews rule changes detailed in Regulatory Notice 21-41 and discusses the impacts to member firms and registered representatives.

View the recording and the presentation slides from the September 2022 session.

Disclosure Letters in FINRA Gateway

During this webinar, FINRA staff demos the enhanced letter process and discusses the feature’s transition timeline from Classic CRD to FINRA Gateway. 

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

Enhanced BR Online Filing Experience

During this webinar, FINRA discusses enhancements to Form BR filings in FINRA Gateway scheduled for January 2022.

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

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 February 2021 session.

 

Enhanced U5 Filing Process

This webinar previews the enhanced U5 filing process deployed in FINRA Gateway on May 17, 2021. Learn about key features and other U5 milestones.

View the recording and the presentation slides from the April 2021 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.