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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Previous Webinars
New FINRA Gateway U4 Online Filing Experience Available October 31
Based on firm feedback and in our continued efforts to deliver the most positive user experience, we are adjusting the previously announced launch of the online filing experience for Form U4 from October 5 to October 31. We will also continue to support all online filing functionality in classic CRD during thi500s time. For complete information, see the Registration Filing in FINRA Gateway page.
Enhanced U4 Online Filing Experience
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.
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 will demonstrate the transition from CRD to FINRA Gateway using real work scenarios.
View the recording and the presentation slides from the June 2020 session.