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. For email notifications about related events and updates, please sign up for the Registration and Testing Information subscription list.
CRD Is Moving to FINRA Gateway: Classic CRD Features Retired August 21
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.
On August 21, the following Classic CRD features were retired:
- View Individual
- View Organization
- Branch Composite View
- Individual Search
- Branch Search (also known as Organization Search)
- Form U5 Filing Capabilities
- Several Classic CRD Reports
All other current Classic CRD functionality will continue to be supported. Form U5 drafts not submitted before August 21 were invalidated, but a read-only version will be made available through September 25 in Classic CRD.
Retirement dates for other functionality will be announced as they become available. See the Move Over, Firm Gateway: What to Expect on August 21, 2021 webinar recording and the Registration Filing in FINRA Gateway page for more details.
Upcoming Webinars
Check back for future webinars.
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.
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
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.