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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The Share feature allows you to share your custom report settings without sharing any of your firm's data. The recipient can apply and save your custom report settings to their firm's data.
Supervising OSJ Branch and Continuing Education (CE) templates now have a flattened data structure that makes them easier to use and similar to existing CRD reports. Firms with Investment Advisers (RA registration) in NY have four templates specifically designed to assist them with the IA registration process from now until August 2021.
The "Save As" feature allows you to save a variation of a custom report without overriding the original report or starting a new report from scratch.
- 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
The following examples, shared by firms, demonstrate how to use FINRA Gateway Report tools to in the context of real-world business needs:
Firms can use choose from several CE templates to track individual 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.
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.
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.
Users will need the "My CRD Reports" entitlement in order to access FINRA Gateway Reports in FINRA Gateway. Please contact your SAA for access.