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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:

Session-specific webinar details will be provided on the topic pages below as dates are announced. For email notifications about related events and updates, please sign up for the Registration and Testing Information subscription list.

Optional Form U4 E-Signature and CE Notification Features Available in FINRA Gateway

Effective September 25, firms can now enable two new optional features in FINRA Gateway’s Firm Settings. Registered securities professionals with FinPro accounts can now receive auto-generated email reminders about their regulatory element CE requirement as well as electronically sign their Form U4 filings.


Upcoming Webinars


Join the Dec. 16 Enhanced BR Filing Process Webinar

FINRA is currently working to make an enhanced Form BR filing process available in FINRA Gateway in early 2022. We will host a webinar to preview the key features of this enhanced process. (This webinar will be held via Zoom, click here to test connectivity in advance.)

ENHANCED BR FILING PROCESS WEBINAR
DEC. 16, 2 – 2:30 P.M. ET



Previous Webinars


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 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.

 


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

During this webinar, FINRA staff demo supporting FinPro and FINRA Gateway functionality.

View the recording and the presentation slides from the October 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.