FINRA Gateway Reports
FINRA Gateway Reports, previously referred to as Dynamic Reporting, helps firm staff answer common questions and make informed decisions using FINRA data.
On This Page:
Feature Highlights
Updated: 6/11/21
Choose to download to single file or multiple files according to how much data you need to download at one time.
Use the “Is Null” filter operator to see only the current residential address and branch location.
The Share tool allows you to share template settings without sharing any of your firm data with other people who have access to FINRA Gateway.
Support Resources
FINRA Gateway Reports User Guide
Data Definitions:
- Individual Data Dictionary for FINRA Gateway Reports
- Branch Data Dictionary for FINRA Gateway Reports
- Firm Data Dictionary for FINRA Gateway Reports
- 4530 Customer Complaints and Disclosures Data Dictionary
Real-World Examples
The following examples, shared by firms, demonstrate how to use FINRA Gateway Report tools to in the context of real-world business needs:
Current Residential and Branch Locations
Use the "Is Null" filter operator to pull back only the current residential and branch locations for individuals at your firm.
CE Obligations
Firms can use choose from several CE templates to track individual CE obligations at their firm.
FinPro Attestations
Firms can use the FinPro Access Tracking template in FINRA Gateway Reports to track FinPro account activity for individuals at the firm.
Individuals Taking Exams at Remote Test Locations
Firms can use FINRA Gateway Reports to track which individuals are taking exams remotely so they can send them specific instructions for their online exam.
Recent Hires
Firms can use FINRA Gateway Reports to track hiring within a given time period.
State Registrations
Firms can use FINRA Gateway Reports to identify state registrations held by individuals at their firm.
Individuals' Deficiencies
Firms can use FINRA Gateway Reports to track individuals' deficiencies and create a list of individuals with a particular type of deficiency.
Individuals by Exam Type
Use FINRA Gateway Reports to explore individuals at your firm by the type of exam. Create a list of individuals at your firm who have a particular Series exam.
How to Access
To access FINRA Gateway Reports, you need an account for logging into FINRA Gateway that includes at least one following entitlements;
- Reports
- Organization
- IA Organization
- U4 Form Filing
Please contact the account administrator at your firm for help with your FINRA Gateway Account.