Technology shouldn’t slow you down – it should make you more efficient. That’s why FINRA has launched the new FINRA Gateway.
The new compliance portal, powered by FINRA's Digital Experience Transformation, is designed to streamline the FINRA compliance and reporting experience by providing a more flexible solution that can be customized to target your specific needs.
The new system, which is being implemented in stages, focuses on compliance functions, such as research, reporting and responding to requests, rather than on compliance systems. This will ultimately help you perform your compliance tasks more efficiently. The system also provides users with quick links to the 'Classic' FINRA applications and features you are accustomed to using that have not yet migrated to the new system.
How Is FINRA Gateway Doing This?
- The Dashboard: Streamlined navigation will get you to the work or information you need faster.
- Requests: A list of all digital FINRA requests and work due will be consolidated in a single place—with the ability to save filtered and sorted views.
- Profiles: Unique Firm, Branch and Individual profiles will allow for better navigation and quick access to the forms you need, when you need them.
- Reports: A new dynamic and customized reporting capability will allow you to create, save and export your registered individual and branch information. Learn more about FINRA Gateway Reports.
- Support: Have issues along the way? Quickly submit your support issues online through the system rather than on the phone.
- Quick Links: Direct links back to the ‘Classic’ FINRA applications and features you are accustomed to using, enabling you to transition to the new features on your timeline.
- Data Entry/Filings: Starting with the enhanced U4 experience, data entry will be made easier with a more user friendly and streamlined experience.
- Recently Viewed: A record of historic places you have visited to make it easier to get back to what you were doing.
- Admin: Users now have the ability to control both user and firm settings in one easy to find location.
- Contacts: Quickly get in contact with someone at FINRA who knows your firm, Risk Monitoring Analyst (RMA), Risk Monitoring Director (RMD) and Single Point of Accountability (SPOA). FINRA Contact System contacts coming in late May. Learn more about FINRA Gateway Contacts.
What Will FINRA Gateway Ultimately Replace?
- Firm Gateway: FINRA Gateway entirely replaces Firm Gateway, which will remain available at least through the end of Q2 2021.
- Compliance Calendar: Your firm-specific Compliance Calendar reminders/tasks are now included in the FINRA Requests feature. The existing Compliance Calendar on FINRA.org will be migrated into FINRA Gateway in 2021.
- Registration Tasks: FINRA Gateway will become the primary way you navigate registration related tasks currently found in Web CRD.
- Other FINRA Regulatory Systems Found in Firm Gateway: New functionality will be released to replace other systems, such as the FINRA Contact System, over time.
Key Dates
|
Date |
Milestone |
|---|---|
|
Q1 2021 |
Updates to the new data entry experience for U4 in FINRA Gateway. See the Registration Filing in FINRA Gateway page for complete information Share and “Save as” abilities within FINRA Gateway Reports CE and NY IARD Templates within FINRA Gateway Reports |
|
Q2 2021 |
Classic U4 data entry experience will be retired (April 5, 2021) The new U5 data entry experience will be made available Search abilities within FINRA Gateway Requests Automatic Notifications implemented in FINRA Gateway View historical fillings Customizable home page in FINRA Gateway Firm Gateway Queue Totals brought over to FINRA Gateway The FINRA Contact System (FCS) will move to FINRA Gateway Contacts Firm Gateway FCS will be retired (May 2021) |
|
Q3 2021 |
Firm Gateway will be retired for all firm users (August 2021) Classic U5 data entry experience will be retired (August 2021) |
*These dates may change.
How Can I Prepare?
We want your transition to the new FINRA Gateway to be as seamless as possible. When you log in to FINRA Gateway, you will have access to tutorials and quick reference materials.
Help/Featured Help
Before submitting a support ticket, try searching for what you need using the ‘How Can We Help?’ menu in FINRA Gateway. Users can find a regularly curated list of time-specific help in the ‘Featured Help’ tab.
Webinar
Join one of our FINRA Gateway webinars to help get you started and to ensure you make the most of the new experience.
Video Tour
Watch our two-minute video tour of FINRA Gateway to learn more about its new features and functionality.
Want to Help Shape the Future?
We heard that firms experienced challenges in managing and accessing FINRA’s multiple systems and data sets. That’s why FINRA Gateway will put everything in one place — a unified experience.
We want to keep hearing from you. Sign up to provide us with the feedback that drives our changes. You can also email us.
Frequently Asked Questions
Find answers to common questions regarding FINRA Gateway. Still have questions? Email us.
Release Notes
Keep track of recent enhancements to FINRA Gateway.
User Research Opportunities
Participate in quick research activities and surveys to help shape the FINRA tools you use on a daily basis. Your feedback can remain anonymous, and there are no right or wrong answers. You can also read about what we have learned from previous user research feedback.