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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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Feature Highlights

Updated: 04/8/22

Updated Individual Data Definition
See the Employment section of the updated documentation for details on fingerprint card statuses, including which fingerprint card statuses are considered final.
Reporting on Different Types of Employed Individuals
Learn how to report on the NRF individuals in your firm and other employment type reporting situations. 
Export Your Data the Way You Want It
Choose to download to single file or multiple files according to how much data you need to download at one time.

Support Resources

FINRA Gateway Reports User Guide

Data Definitions:


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:

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. 

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.

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.

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.