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FINRA Gateway Reports Quick Reference Guide: Tracking CE in Progress

FINRA is launching a new continuing education (CE) platform in two stages that will be accessible exclusively through the Financial Professional Gateway (FinPro). All Regulatory Element CE sessions begun on the retiring platform must be completed before November 9; otherwise, individuals must re-start on the new platform.

Firms can use FINRA Gateway Reports to track individuals who are at risk of having to restart CE on the new platform. The In Progress CE status code indicates that an individual has started, but not yet finished, a CE session on the retiring platform. Complete instructions are outlined below. 

Note: The "My CRD Reports" entitlement is required to access this report. Please contact your SAA for assistance with your system credentials.

  1. Log in to FINRA Gateway: https://gateway.finra.org/
     
  2. Click the Reports icon on the left-hand side of the page.
     
  3. Select the CE in Progress at Risk of Restarting on Nov 9 report. This template identifies individuals currently using the retiring CE platform and whose CE windows end after November 8.
     
  4. This report template will remain available through November 8. FINRA Gateway is available 24/7; however, registration data only refreshes when CRD is available. See the CRD Availability Schedule for standard hours of operation as well as scheduled outages.

Re-create This Report

The CE in Progress at Risk of Restarting on Nov 9 is a modification of the CE in Progress report template. Follow the instructions below to learn how this report was created and become acquainted with the capabilities of the FINRA Gateway Reports feature.

  1. Select the CE in Progress template, and then click the Filter icon to the right of the report title.

     

    Screenshot - Tracking CE in Progress: CE in Progress
     

  1. Type "window end date" in the Filter By field, then select Greater Than in the drop-down menu and type "11/08/2020."
     

    Screenshot - Tracking CE in Progress: Report Filter By
     

  1. Select Apply Filter and click Done.
     
  2. Select the Group icon to the right of the report title. Expand the CE Sessions section of the menu, check off Appointment Status Code in the list and click Apply.
     

    Screenshot - Tracking CE in Progress: Group By
     

  1. The report is now grouped by the CE appointment status code. You can use these codes to identify the platform an individual has used to initiate their Regulatory Element CE:
     
    1. Scheduled means that the individual has started their CE on the new platform.
       
    2. In Progress individuals are using the retiring platform to complete their CE. These associated people should make sure that they have finished their sessions before November 9. 
       
  2. Click Save and create a title for this modified version of the report template. To re-run the report, select the title from the Custom Reports.