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FINRA Gateway Reports

FINRA Gateway Reports, previously referred to as Dynamic Reporting, was designed to help firm staff answer common questions and make informed decisions using FINRA data.  Learn more about FINRA Gateway Reports, including benefits, use cases, how to access, and documentation.


Benefits

Flexible

Easily select the specific data fields you want to view and then sort, filter and group the data (including by date range) to answer questions and make decisions that will improve your registration and compliance operations. 

Real Time

Unlike the current Classic CRD static reports that are generated using day-old data, FINRA Gateway Report data is up to date within the last 30 minutes. Leverage near real-time data to streamline your registration activities and stay on top of open issues.

Simple

Minimize the time you spend extracting and reconciling data in Excel or other tools, and instead focus on leveraging available data to avoid problems and lower compliance costs.


Use Cases

Tracking FinPro Attestations
Firms can use the FinPro Access Tracking template in FINRA Gateway Reports to track FinPro account activity for individuals at the firm.

Tracking Individuals with Upcoming CE obligations
Firms can use FINRA Gateway Reports to track individuals who have an upcoming CE obligation.

Tracking 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.

Tracking Recent Hires
Firms can use FINRA Gateway Reports to track hiring within a given time period.

Tracking State Registrations
Firms can use FINRA Gateway Reports to identify state registrations held by individuals at their firm.

Tracking Individuals' Deficiencies
Firms can use FINRA Gateway Reports to track individuals’ deficiencies and create a list of individuals with a particular type of deficiency.

Tracking 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

Users will need the “My CRD Reports” entitlement in order to access FINRA Gateway Reports in FINRA Gateway. Please contact your SAA for access. 


Documentation

FINRA Gateway Reports User Guide

Data Definitions