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.
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Updated: July 24, 2023
Review the Exams section to learn about FINRA Gateway Reports data updates related to the North American Securities Administrators Association (NASAA)’s Exam Validity Extension Program (EVEP).
Review the data dictionary to understand definitions for annual continuing education (CE) data in FINRA Gateway Reports.
Review the data dictionary to understand definitions for investment adviser representative (IAR) CE data in FINRA Gateway Reports.
- Rule 4111 Compliance Tool Glossary
- Individual Data Dictionary
- Branch Data Dictionary
- Firm Data Dictionary
- Annual CE Data Dictionary
- IAR (Investment Adviser – Registered) CE Data Dictionary
- 4530 Customer Complaints and Disclosures Data Dictionary
- Account Details Data Dictionary
The following examples, shared by firms, demonstrate how to use FINRA Gateway Report tools in the context of real-world business needs:
Tracking CE Regulatory Element Statuses of Associated Persons
Learn how to track CE Regulatory Element statuses of associated persons during the year-end system shutdown period.
Audit Active User Accounts
Account administrators can customize the Account Details Report template to report on active accounts within their organization.
Reporting on Different Types of Employed Individuals
Learn how to report on the NRF individuals in your firm and other employment type reporting situations.
Other Business Descriptions in FINRA Gateway Reports
Learn how to get the full text of Other Business Descriptions from FINRA Gateway Reports.
Share Templates with Colleagues
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.
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.
Annual CE Obligations
Firms can use choose from several Annual CE templates to track individual Annual CE obligations at their firm.
Firms can use the FinPro Access Tracking template in FINRA Gateway Reports to track FinPro account activity for individuals at the firm.
Firms can use FINRA Gateway Reports to track hiring within a given time period.
Firms can use FINRA Gateway Reports to identify state registrations held by individuals at their firm.
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.
Tracking Individuals Who Received an Exam Credit
Use FINRA Gateway Reports to pull up a list of individuals at your firm who have received a credit for an exam.
How to Access
To access FINRA Gateway Reports, you need an account for logging into FINRA Gateway.
To view report templates, you need entitlements to view one or more reporting data sets, such as Rule 4530 Reporting or CRD Reports.
To add entitlements to your FINRA Gateway account, please contact the account administrator at your firm.