FINRA Gateway Release Notes
Release Date | System | Area | Description |
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October 27, 2024 | FinPro (Financial Professional Gateway) | Continuing Education | A new “Not Required” CE status for the Regulatory Element will be added for individuals who are fully terminated. The status will be displayed only in the CE section. |
October 26, 2024 | FINRA Gateway | Individual Profiles | A new “Not Required” CE status for the Regulatory Element will be added for individuals who are fully terminated. This status will be displayed under the Summary Section. |
September 14, 2024 | FINRA Gateway | Form U4 | The U4 Form will be updated to include the Residential Supervisor Location (RSL) question. Firms can select “Yes” or “No” in response to the question, by selecting a radio button, to indicate whether the location is designated as an RSL as defined in FINRA Rule 3110. |
September 14, 2024 | FINRA Gateway | Reports |
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August 22, 2024 | FinPro (Financial Professional Gateway) | User Experience | If a firm has defined an earlier firm CE due date via FINRA Gateway, this date will be displayed on FinPro on the individual’s profile summary, CE Reminders, and CE sections when they are required to take the Regulatory Element CE. If the individual has multiple firm associations and have multiple firm CE due dates applicable, only earliest firm CE due date will be displayed. |
July 18, 2024 | FINRA Gateway | Form BR | Completeness checks for the Form BR have been update to support implementation of the Residential Supervisory Location Rule. See RSL key topics page for information |
June 28, 2024 | FINRA Gateway | Regulatory Task Catalog | Regulatory Task Catalog will be available for all firm users in FINRA Gateway. This new feature will replace the current Browse Forms & Filings feature in Requests & Filings and provide users a more effective way to search for the forms, filings, or other regulatory items they want to initiate or learn more. There will be 3 entry points to Regulatory Task Catalog:
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June 22, 2024 | FINRA Gateway | Individual Profiles | Individual Profiles:
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June 1, 2024 | FINRA Gateway | Forms and Filings | Firms can provision a form to submit the 3110.18 Remote Inspection Opt-in/ Opt-out form. For more information, click here. |
May 15, 2024 | FinPro (Financial Professional Gateway) | User Experience |
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April 15, 2024 | FINRA Gateway | E-Bill | E-Bill, FINRA's financial system, is now integrated with FINRA Gateway. A new Wallet feature has also been launched with this integration to support centralized payment management. Entitled users can access E-Bill through a widget or the left-hand navigation bar in FINRA Gateway. There is also a direct link to the application. Consult the E-Bill page for more information about the system. |
April 5, 2024 | FINRA Gateway | Login page | Added an additional tab to the Gateway login page with clear labeling for different users. For accounts associated with a firm or organization and managed by an SAA/AA, users must use the Firm/Org tab to log in. For individual accounts not associated with a firm or organization, users must log in through the Individual tab. |
March 23, 2024 | FINRA Gateway | Individual Profiles and Firm Profiles | Individual Profiles: Summary:
Qualifications Section:
Firm and Branch Profile:
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March 8, 2024 | Financial Professional Gateway (FinPro) | FINRA's Maintaining Qualifications Program (MQP), NASAA's Exam Validity Extension Programs (EVEPs) | Ability to pay for CE programs with a non-US credit card; Program year added to FINRA MQP and NASAA EVEP payment confirmation page in FinPro and the payment confirmation email. |
March 2, 2024 | FINRA Gateway | Reports | Regulatory Element Annual CE Report Template Enhancements
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March 2, 2024 | FINRA Gateway | Multi-Factor Authentication (MFA) |
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February 12, 2024 | FINRA Gateway | User Account Settings |
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February 12, 2024 | FINRA Gateway | Profiles | Bug Fixes:
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January 20, 2024 | FINRA Gateway | Individual Profiles | Fix to address the automatic redirection to the Individual Profile when trying to go back to the search results after search was done for a CRD #. With this fix the user will be able to view the search result page when the user goes back to previous page by using the back button from the Individual Profiles. |
January 20, 2024 | FINRA Gateway | Branch Profiles | An informational icon will be displayed for Business Activities on Branch Profiles, and on hover over will display the list of the business activities along with the icons enabling the user to quickly get a view of all business activities. |
January 20, 2024 | FINRA Gateway | Firm Profiles | Fix to address the broken link for “Create New Branch” under the actions section on the BD Profile page. With this fix, the action link directs the user to the Branch Information form. |