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FINRA Gateway Release Notes

Date Feature Description

28 May 2020

User Support

  • Create & submit a support ticket from anywhere within FINRA Gateway.

28 May 2020

Profiles

  • Branch Roster bug fix to remove main office/invalid branches.

26 May 2020

Profiles

  • Registrations layout enhanced to separate SRO & State Registrations, also adding pagination and count.
  • Completion date added to Continued Education section.
  • Appointment details for Pending Exams added.

26 May 2020

Dashboard

  • New prompt invites users logging in to Firm Gateway to preview and move to FINRA Gateway.
  • New prompt for users utilizing unsupported browsers to upgrade upon login.

22 May 2020

Reports

  • Disclosure, Deficiencies, and Registration Status History fields added to Reports registration templates.

13 May 2020

Dashboard

  • E-Bill badge is on the Dashboard. Available to entitled users; displays balance as of the previous night. To be enhanced in the future to display current balance as posted throughout the day.

08 May 2020

Profiles

  • Investment Advisor (IA) Affiliation in Individual Profile

27 Apr 2020 

Profiles

  • New Continuing Education History section for Individual Profile
  • 'Termed' status for Individuals in Continuing Education section
  • FINRA Risk Monitoring Analyst and its contact information in the Firm Profile summary

27 Apr 2020 

Dashboard

  • New Announcements feature in banner of landing page and in new dropdown list, which mirrors announcements in classic Firm Gateway
  • Enhanced icon for User Account Settings  

17 Apr 2020 

Reports

  • New reporting templates that resemble myCRD activity queues
  • Refine your data using relative date filters for more reusable custom data views.
  • Export sub-tables within data views to a CSV file.
  • Sort data views on grouped fields.

17 Apr 2020 

Profiles

  • Search for Individuals by Full Name and Other Names (e.g., first, middle, last or suffix, in any order.)
  • Filter and sort the Individual Roster by Name, CRD Number, Billing Code and Outside Business.
  • Filter and sort the Branch Roster by CRD Number, City, State, Billing Code, Branch Type, Phone Number and Deficiency Status
  • Browse the Individual and Branch Rosters using pagination.
  • Expand and collapse all cards on Firm and Individual Profile screens
  • Enhancement to the Registration section - clean up Deficiencies by grouping them, added Private Residence indicator for Office Location and added termination explanation
  • New Statutory Disqualification Status field on the Individual Summary