FINRA Gateway | FINRA.org

Compliance. Only Better.

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 & Filings: A list of all digital FINRA requests and work due, as well as draft and historic filing information, consolidated in a single place—with the ability to search and save filtered and sorted views.
Profiles: Unique Firm, Branch and Individual profiles allow for better navigation and quick access to the forms you need, when you need them.
Reports: A new dynamic and customized reporting capability allows 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 Form U4 experience, data entry is easier with a more user friendly and streamlined experience, including the ability to capture electronic signatures.
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.
Notifications: System-generated notifications will be modernized and centralized, beginning with new optional regulatory element CE notifications sent directly to registered securities professionals who have FinPro accounts. See the Firm Settings Guide for more information.
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 June. 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 middle of Q3 2021.
Compliance Calendar: Your firm-specific Compliance Calendar reminders/tasks are now included in the FINRA Requests & Fillings.
Information Requests: All requests can now be found in FINRA Requests and Filings. You can easily toggle between the Active and Completed tabs or search by Case or Request ID
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 and Web CRD, over time.

Key Dates

Date	Milestone
Q1 2021	January: Updates to the new data entry experience for U4 in FINRA Gateway. See the Registration Filing in FINRA Gateway page for complete information February: Share and "Save as" abilities within FINRA Gateway Reports CE and NY IARD Templates within FINRA Gateway Reports
Q2 2021	April: Classic U4 data entry experience retired Search abilities within FINRA Gateway Requests View historical filings May: New U5 data entry experience Customizable home page in FINRA Gateway June: FINRA Contact System (FCS) will move to FINRA Gateway (Firm Gateway FCS will be retired) Firm Gateway CRD Queues available in FINRA Gateway homepage Alerts added as a Notification Filing Reminders added as a Notification
Q3 2021	July: Ability to customize Quick links / add Favorites on a user's homepage August: IMPORTANT: Several features retired August 21, 2021. Firm Gateway—Firms can use FINRA Gateway to access all their compliance-related tasks today. FINRA will continue to transition all remaining functionality from Firm Gateway to FINRA Gateway by the retirement date. We urge firms to familiarize themselves with FINRA Gateway while their legacy-equivalent functionalities are still available to allow for a smooth transition. Classic CRD—The following features in the Classic CRD system partially or completely retired: Form U5 Online Filing Capabilities, Individual Disclosure Letters, Classic CRD's View Individual, Classic CRD's View Branch, and Several Classic CRD Reports See the Registration Filing in FINRA Gateway page for complete information September: Two new optional features are now available in FINRA Gateway's Firm Settings. Firms can now enable the following: CE Email Notifications: Registered securities professionals with FinPro accounts can now receive auto-generated email reminders about their regulatory element Continuing Education (CE) requirement. These are the first system-generated notifications supported by FINRA's Digital Experience Transformation. E-Signature: Registered securities professionals can electronically sign Form U4 filings via FinPro. See the Firm Settings Guide to learn how to take advantage of these optional features

Date

Milestone

Q1 2021

January:

Updates to the new data entry experience for U4 in FINRA Gateway. See the Registration Filing in FINRA Gateway page for complete information

February:

Share and "Save as" abilities within FINRA Gateway Reports
CE and NY IARD Templates within FINRA Gateway Reports

Q2 2021

April:

Classic U4 data entry experience retired
Search abilities within FINRA Gateway Requests
View historical filings

May:

New U5 data entry experience
Customizable home page in FINRA Gateway

June:

FINRA Contact System (FCS) will move to FINRA Gateway (Firm Gateway FCS will be retired)
Firm Gateway CRD Queues available in FINRA Gateway homepage
Alerts added as a Notification
Filing Reminders added as a Notification

Q3 2021

July:

Ability to customize Quick links / add Favorites on a user's homepage

August:

IMPORTANT: Several features retired August 21, 2021.

Firm Gateway—Firms can use FINRA Gateway to access all their compliance-related tasks today. FINRA will continue to transition all remaining functionality from Firm Gateway to FINRA Gateway by the retirement date.

We urge firms to familiarize themselves with FINRA Gateway while their legacy-equivalent functionalities are still available to allow for a smooth transition.
Classic CRD—The following features in the Classic CRD system partially or completely retired:
- Form U5 Online Filing Capabilities,
- Individual Disclosure Letters,
- Classic CRD's View Individual,
- Classic CRD's View Branch, and
- Several Classic CRD Reports
See the Registration Filing in FINRA Gateway page for complete information

September:

Two new optional features are now available in FINRA Gateway's Firm Settings. Firms can now enable the following:
- CE Email Notifications: Registered securities professionals with FinPro accounts can now receive auto-generated email reminders about their regulatory element Continuing Education (CE) requirement. These are the first system-generated notifications supported by FINRA's Digital Experience Transformation.
- E-Signature: Registered securities professionals can electronically sign Form U4 filings via FinPro.
See the Firm Settings Guide to learn how to take advantage of these optional features

*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.