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FINRA Gateway Release Notes (2020-2022)

Date Feature Description
December 15, 2022 Requests and Filings
  1. Filters:
    • Re-design in the layout
      • Moved all the Frequently used filters to the top such as Date filter, Overdue and Status filter
      • Mapped the Type filters under their associated “parent” Category filters
    • Enabled the multi-select capability under each filter section. Previously, users could select only one option from a filter section.
    • Expand and collapse all filter sections
    • Quick reset of filters
  2. Save Views:
    1. Any filters/queries that are currently have saved as a “Saved View” will not be transitioned to the new functionality.
    2. Users should recreate any filters using the enhanced functionality after it goes into effect.
October 20, 2022 FINRA Request Emails

FINRA Request Email to firms and individuals launched with a new design:

  • Request Manager(RM) converted the FINRA Request Email to use the Unified Notifications Platform’s Email Template and leveraging the Web Notifications feature to generate a parallel web notification in FINRA Gateway
  • The ‘FROM’ address is changing from [email protected] to [email protected]
  • The email body format is changing to align with the FINRA standard format for the communication emails
  • Email recipient will continue to see Item ID and Item Name with the direct link to the item in FINRA Gateway and Request Manager

January 22, 2022 BR

Form BR

A new and improved data entry experience for BR filings are now available within FINRA Gateway: 

  • Classic CRD BR experience continues to be available at this time.
  • Filers can choose to use either experience but will need to complete each filing on a single path (i.e. – BR filings created in Classic CRD must be resumed and submitted in Classic CRD, and BR filings created via FINRA Gateway must be resumed and submitted via FINRA Gateway).
  • Once submitted, all BR filings (regardless of the path chosen) will be available in the individual’s filing history in Classic CRD.
  • Feature Highlights:
    • Users can start a BR filing in FINRA Gateway by searching for the branch and from the branch's profile select the appropriate BR filing type or start a BR Initial filing from the firm profile under actions
    • Users can access draft BR filings by either searching/filtering the Requests section of FINRA Gateway
    • User tutorials embedded in the FINRA Gateway help menu
    • Improved functionality with search experience within the form and a comparison of changes made on the filing (Redlining) is available

January 19, 2022 U4 & U5

Form U4

  • Fixes:
    • Resolved a bug that was restricting the user’s ability to "extend" the exam window (by re-requesting the exam in filing) when: 

      • The exam window end date is within 30 days in an open equivalent status

      • AND the corresponding registration(s) has previously been requested.

Form U5

  • Fixes:
    • Fixed a bug so “termination explanation” will now be available for all termination reasons whether it's required or not. 

December 16, 2021 Notifications
  • Users can now select their Notification preferences in FINRA Gateway: 
    • Users can subscribe/unsubscribe to specific notifications and to control how they want to receive notifications (web, email) 
    • By default, users will be subscribed to only web notifications. Web notifications will be sent via the FINRA Gateway bell icon.
    • Users can add the ability to receive notifications via email as well. Emails will be sent to the email addresses associated with their FINRA Gateway user account.
December 4, 2021 U4

Form U4

  • Fixes and Enhancements:  
    • Sex field is no longer required and for existing individuals a null/empty selection is also possible by changing the field from a radio button to a drop-down 
    • Fingerprint barcode field will be read-only and not a field that can be edited
    • Bug fix for so clicking on "Save" will work the same way as clicking "Update" and save all the information.
    • Performance enhancement for the scenario where user has more than 50 Office of Employment Address history
November 19, 2021 Profiles
  • Individual search enhanced to all users to search with other/ alternative names
  • The Branch-Associated Individuals, roster grid is now available in the Branch profile
November 5, 2021 Profiles
  • BD Clearing Arrangements information now available in the Firm BD profile.
October 30, 2021 U4

Form U4

  • Fixes and Enhancements: 
    • 15C Temporary Registration Signature will now only be available on U4 Amendments when applicable and not all the time. 
    • Updated messaging for the Completeness checks related to the Individual and Firm Signatures to make it more user friendly
    • Bug fix so the “Update” button is no longer missing on Office of Employment Location for an existing record on a U4 Amendment
    • Submitted date is now available on the form view to help with record keeping from FINRA Gateway specially for E-Signed filings
    • Bug fix so the "Delete" E-Signature button is no longer showing on Submitted filings
October 15, 2021 Profiles
  • Profiles widget on the dashboard has been enhanced to automatically re-size based on the type of search to avoid taking a lot of white space on the dashboard.
  • Supervisor / Person-in-charge information added to the Branch profile summary.
  • Firm Billing code for individuals added to the Individual profile summary.
September 27, 2021 Profiles

Firm Profile Updates:

  • Registration information is now consolidated into a single page instead of multiple tabs/ pages on both Individual Profiles and Firm BD profile.
  • An error message on the Profiles application was added for when the user does not have the required entitlements.
September 25, 2021 U4, U5

Form U4

  • New Features added:
    • E-Signature available for Reps - Optional feature which will only be available if the admin of the firm turns on the settings from Firm Settings.
    • New flow introduced within the form to be able to collaborate with rep and get their E-Signature.
    • Reps are now able to log in to FinPro and access their U4, E-Sign the form and return it back to the firm for submission.
    • The E-Sign flow is audited and will be available in the Reports section (under Registrations templates) called "E-Signature Tracking".
  • Fixes and Enhancements: 
    • Allow Rep Edits will no longer have the Signatures section option for the rep as them typing in their name doesn't constitute an actual signature. 
    • The Filing Status of the form has been added to the header to easily view the current status.
    • Action buttons have been updated with new verbiage throughout the form to make it more consistent and user friendly.
    • User friendly Rep Completion status now available from Requests and Filings section.
    • After submitting a form, users will automatically be redirected to the homepage after five seconds, rather than having to click “Okay”.
    • The Completeness Check will now save the data when you're in the middle of updating information to ensure that the completeness check modal is showing changes based on the most current data.

Form U5

  • Fixes and Enhancements: 
    • Updated behavior for disclosure certification where checking on the checkbox will still require users to answer the disclosure questions in section 7B (Internal Review) and 7F (Termination) and will hence show the completeness check after checkbox is selected.
September 13, 2021 Profiles
  • Firm Clearing Information added to BD firm profile.
  • Bug Fix so Branch search now allows search by 2 letter State abbreviation (Ex: TX).
August 28, 2021 U4, U5

Form U4

  • Fixes and Enhancements: 
    • Added the ability to see Submitted U4 Filings from Requests and Filings in the Completed tab
    • Bug fix for when U4 filing type wasn't automatically switching from "Relicense" to "Initial" after the 30 days from Termination. Existing drafts that are stuck in “Relicense” for more than 30 days will automatically switch to “Initial” filing type
    • Bug fix for when in the Comparison with Previous Filing for Professional Designation section there where empty values incorrectly showing as deletions.
    • Bug fix for where removing exam type in the Exams section was causing filings to fail after Submission

Form U5

  • Fixes and Enhancements: 
    • Added the ability to see Submitted U5 Filings from Requests and Filings in the Completed tab
    • Added better messaging when SRO Registration is not applicable on a U5 Partial for an individual
August 28, 2021 Profiles

Firm Profile updates:

  • "Create Individual" option is unconditionally available for Pre-registration searches based on Last name and DOB.
  • Success message added to Individual and Branch roster grids export functionality on the firm Profile.
August 21, 2021 Firm Gateway
  • The Firm Gateway homepage has been retired. Users will have to log in to FINRA Gateway to complete all their compliance related tasks.
    • Funding Portal and New Member users will be able to access their appropriate pages in Firm Gateway still.
August 21, 2021 Quick Links
  • The Firm Gateway quick link has been removed.
  • The See More Forms quick link has been renamed Forms and Filings.
  • A Compliance Calendar quick link has been added to navigate users back to the Compliance Calendar.
August 21, 2021 U5

Form U5 Retirement in Classic CRD: 

  • Ability to start a U5 (Full, Partial, Amendment) in Classic CRD has gone away. FINRA Gateway will be the only application that will support the creation of U5.
  • Failed Web EFT submissions will now create a draft in FINRA Gateway instead of Classic CRD and can be found in Work Management Requests & Filings.
  • Pending Filings in Classic CRD have been invalidated and will be available for Read-Only
  • Submitted Filings/Historical Filings are still available in Classic CRD
August 19, 2021 Notifications
  • Users can now search through their notifications by title in the Notification Center.
August 19, 2021 FINRA Gateway
  • FINRA gateway will no longer support reminders in FIRM Gateway. However, reminders via email will still be available to users.
August 19, 2021 Requests & Filings
  • Firms can now delete "pending upload" files in the Information Requests response form.
August 19, 2021 U4
  • Added a missing Completeness Check for CD SRO Registration which is retired can only be requested on the Form U4 when the individuals hold the registration within his/her Continuous Registration Period
  • Bug Fix so the registration status "Deficient" does not fall under the approved category and thus allows individuals who are CE 2 Year Termed to request the appropriate registrations
August 11, 2021 Profiles
  • SIPC and Fidelity Bond Financial Information added to BD firm profile with in-line editing feature to update the information.
  • U10 exam information is added to the Pre-registration profile of CRD individuals, to complete the qualifications section. 
  • Bug fix to the U5 amendment CTA link to correctly display individuals previously associated with the firm.
August 9, 2021 U4

Form U4

  • Auto-saved feature added to the U4 form, any unsaved changes will be automatically saved based on the two following criteria:
    • Moving from editing one section to the next (Personal Information to Disclosures)
    • Unsaved changes for more than five minutes
  • Bug Fix with cache so "Select All AG" option is not missing in the Jurisdiction section
    • Users should no longer need to either reload the page or clear cache
August 5, 2021 Notifications
  • New Notification Center provides users the ability to view and manage all notifications sent to them.
  • General Notifications now available to users with Other or Regulator Org Class designations.
August 5, 2021 Requests
  • The overdue date is now highlighted with red text for overdue work items instead of red dot.
  • Sort selection dropdown no longer displays when there are 0 work items.
July 31, 2021

Account Management    
  • New FINRA Account Management System available to firms that have completed their 2021 user account certification or firms that have recently onboarded. The new system offers usability and performance upgrades such as:
    • Advanced search capabilities
    • Quick actions
  • Enhanced entitlements navigation

July 31, 2021

U4 & U5

Form U4

  • Added Form U4 instructions on the data entry process which will be available in all sections of the U4
  • Bug Fix to now show a Completeness Check error in the Employment History if "From Date" is greater than "To Date”. Issue was specific to Form U4 Page 2 BD Initial and Amendment forms
  • Updated the order of the Customer Complaint / Arbitration / Civil Litigation DRP question in Data Entry to match the Legal Form
  • Bug Fix to remove the restriction on the total branch search results in the Office of Employment Address section 

Form U5

  • Added Form U5 instructions on the data entry process which will be available in all sections of the U5
  • Enhancement to the U5 Affiliate termination for an individual. Users are now able to terminate a user from both filing firm and affiliate firm if they choose to with one U5 filing
  • Removed the step to "Review" the legal form prior to submission 
  • Bug Fix so now all edited DRPs on a U5 Amendment appear with the changes when “Comparing with a Previous Filing”.
July 30, 2021
  • New and improved Search options added with re-designed look:
    • Search by SSN added to Individual Search
    • Individual search enhanced to return individuals from across affiliates of Simultaneous Filing Group (SFG)
  • Annual Audit & Financial Arrangements information added to BD firm profile.
July 22, 2021 Requests
  • Information Request response form is now natively integrated into information requests work items.
July 19, 2021
FINRA Gateway
  • Queue Totals widget now available to be added to the user’s dashboard
July 17, 2021
U4 & U5

Form U4

  • Bug fix so when changing from Relicense to Initial and then sending the filing to the Rep for collaboration, will not result in firms recreating drafts as a workaround
  • Removed the pre-populated Employment start date on the Office of Employment Location for U4 Amendment filing as the start date is usually not the date individual started working for the firm based on feedback from the users
  • Fixed a bug on the office of employment location for individuals when they were associated with a branch that was closed with the post-dated method. Currently an incorrect Completeness Check shows up and user is unable to file the U4 for the individual
    • Completeness Check Error: "The office of employment end date shall not be after the branch close date"

Form U5

  • Auto-save feature added to the U5 form, any unsaved changes will be automatically saved based on the two following criteria:
    • Moving from editing one section to the next (Personal Information to Disclosures)
    • Unsaved changes for more than five minutes
July 16, 2021
  • “Published Reports” tab added on Reports homepage that allows quick access to the Report Center reports
  • Added the ability to search in the Group feature
  • Added shortcuts that can be applied to the Group settings
July 15, 2021
  • The FINRA Contact System (FCS) was moved to Contacts within FINRA Gateway. FCS will no longer be accessible through Firm Gateway. The redesign includes several updates requested by firms including: 
    • A reduced number of requested roles
    • The addition of the Senior Investor Inquiries role
    • Prominent placing for FCS Reports and historical contact information.
July 8, 2021
  • Users can now “sort by” their work items in the Requests & Filing application. Users can sort by:
    • due date
    • category
    • create date
    • last update date
    • submitted date
    • type
July 1, 2021 U4 & U5
  • New GP and CR registration categories to accommodate changes to the U4 and U5 by the CBOE and CBOE2 Regulators:
    • GP - General Securities Principal
    • CR - Compliance Officer
July 1, 2021 Profiles
  • Users can now view or hide the entered SSN during Pre-registration search.
  • Non-registered, exam-only individuals (those who have taken exams via TESS/U10) can now be found in Pre-registration search.
  • New Individual Profile page with call-to-action links for non-registered, exam-only individuals. 
June 30, 2021 eFOCUS

A new and improved eFOCUS filing application is now available within FINRA Gateway: 

  • The legacy eFOCUS filing application is still available currently.
  • The new application is only available to quarterly filers at this time but will be expanded to monthly filers later in July.
  • Users will be redirected to FINRA Gateway, when attempting to access legacy eFOCUS from an old, bookmarked URL.

Feature Highlights:

  • Enhanced Form Layout
  • Autosaving abilities
  • Form summary review
  • “Exiting” Enhancements:
    • Form error checking
    • The ability to view and print in PDF formatting
    • Import and Export Filing actions
    • Add a filing memo
    • Not submit filing
    • View filing status
    • View filing history
    • Create an amendment
    • Compare filings
    • Complete a filing analysis
June 26, 2021 U4 & U5

Fixes and Enhancements:

  • Form U4
    • Added an inactive session timeout for Reps accessing U4 in FinPro.
      • The inactivity time is 30 minutes after which the user will be given the option to either continue work on the U4 or logout
    • Bug Fix to prevent alerts from showing up at the bottom of the page instead at the top for Reps accessing U4 in FinPro
  • Form U5
    • Added a smart warning on the U5 to prevent users from adding duplicate DRPs
June 24, 2021 Requests
  • Label at the top of Requests updated to “Requests & Filings”
  • DataFix to close outstanding Information Request work items that should have been closed.
  • Requests Widget added to FINRA Gateway Dashboard.
June 21, 2021 U4 & U5
  • Performance upgrades made to lessen the issue of browsers not responding and slowness within the U4 & U5 forms.
June 12, 2021 U5


  • Compare with Previous Filing feature in the Form View where you would be able to view the changes you have made to the filing before you submit. All edits are highlighted, showing additions, modifications, and deletions on the form
  • Summary section will show an informational banner on a U5 Full form when the individual is listed in the FINRA Contact System
  • Summary section will show an informational banner on a U5 Partial form when the individual's Principal Registration is getting terminated and the individual is listed in the FINRA Contact System and has one of the following roles: 
    • Chief Executive Officer (CEO) or Partner
    • Executive Representative (ER)
    • Chief Compliance Officer
    • Emergency Contact (BCP) - Primary
    • Chief Financial Officer
  • Added a warning message on the Internal Review DRP for users to check when an Internal Review event pre-dates the Termination Date on U5 Full for the representative
June 10, 2021 Requests
  • Bug Fix to not display overdue red indicator on completed Work Items
  • Data Fix to close erroneous Information Request, Work Items.
June 9, 2021 FINRA Gateway
  • New, redesigned left-hand navigation bar
    • Solves for overlapping issues with browser resizing and resolution,
    • Gives users control of expanding and collapsing the navigation bar, and
    • Offers better structured sub-menus for 508 compliance.
June 3, 2021 Requests
  • F4 Actions now available to be taken
  • New error message to let users know the following characters are not allowed in the Search Box: ~\`!@#$%^&*_={}[]|;'"?<>
  • Requests is now labelled “Work Management Requests & Filings”
  • Closed work items will now display the submitted date
  • Users can now quickly identify overdue items by using the “Overdue” filter option
June 1, 2021 Profiles
  • Business Activities information now available in the BD firm profile with the ability to update with additional business activities collected outside the Form BD.
May 27, 2021 U4 & U5

Fixes and Enhancements: 

Form U4

  • Bug Fix in the Jurisdictions section where BD/IA only affiliated firms for an individual had the AG/RA Jurisdictions disabled (read-only)
  • Bug Fix on the Judgement Lien DRP to allow the editing of DRP 052009A to a 052009B version when a sensitive docket case number is available

Form U5

  • Summary section now shows an informational banner on a U5 Full for FinPro users along with their email addresses. The reps will get an email notification on those email addresses upon termination.
    • Note: Firms are still required to provide a copy of the U5 as filed to the individuals
  • Implemented a smart warning on the Reason for Termination to alert users to review information prior to submission
  • Bug Fix with the Completeness Check for Investigation DRP to not be required if a Regulation Action DRP has been added.
  • Bug Fix for typos throughout the form U5 (Full, Partial and Amendment).
May 25, 2021 Profiles
  • FINRA membership indicator temporarily removed on Firm Profile.
  • Bug Fix to correct BD SEC registration statuses on Firm profile.
  • AMI and Docker images updated.
May 24, 2021 Notifications
  • FINRA Gateway Announcements are now FINRA Gateway Notifications.
  • New “Alert” Notification type. Alerts will be used for to highlight items that require an action.
  • New icons to differentiate between “Alert” and “Announcements” notification types.
  • Notification bell updated to show the total number of unread notifications.
May 16, 2021 Profiles
  • Form U5 call-to-action links will open New U5 experience in FINRA Gateway.
  • Pending/Draft U5 filings indicator added to Individual Profile.
  • Error message with reference number added when Form U4 or U5 filing fails to initiate from the profile.
May 16, 2021

A new and improved data entry experience for U5 filings is now available within FINRA Gateway: 

  • Classic CRD U5 experience continues to be available at this time.
  • Filers can choose to use either experience but will need to complete each filing on a single path (i.e. – U5 filings created in Classic CRD must be resumed and submitted in Classic CRD, and U5 filings created via FINRA Gateway must be resumed and submitted via FINRA Gateway).
  • Once submitted, all U5 filings (regardless of the path chosen) will be available in the individual’s filing history in Classic CRD.
  • Feature Highlights
    • Start a U5 filing in FINRA Gateway by searching for the individual and from the individual’s profile select the appropriate U5 filing type.
    • Access draft U5 filings by either searching/filtering the Requests section of FINRA Gateway.
    • User tutorials embedded in the FINRA Gateway help menu.
May 13, 2021
  • Disabled the URL for submitted U4 and U5 Filings created in FINRA Gateway.
  • Full Text Search enhanced to allow the search of first name, last name, or both for Disclosure Letters.
May 10, 2021
  • Launched the new FINRA Gateway Dashboard, offering a customizable homepage with varying widgets such as Profile Search, Quick Links and E-Bill for those properly entitled.
May 3, 2021 Profiles
  • Website address now available in BD firm profile, along with the ability to edit the web address there.
  • Bug fix for the "Available in BC/IAPD" indicator to display accurate information for reportable Customer Complaint disclosures.
  • Bug fix to remove the hyperlink(s) for Branch CRD numbers in Individual Profile - Office Locations section for Branch offices which are not registered with the logged in firm.
May 1, 2021 U4
  • Fixes and Enhancements: 
    • New error message so users can understand the error they are encountering and if not, they will be able to take a screenshot of the error and send it over to FINRA Support for more expediated assistance.
    • Bug Fix so that all disposition details in bankruptcy DRP are not required where it shouldn’t have been.
April 30, 2021 Requests
  • Fixes and Enhancements: 
    • U4 Card Layout Enhanced to help better identify the U4 you are looking for.
    • The “Delete” button will now be hidden for Submitted U4 Filings.
    • Bug Fix so that the U4 “Delete” button will only be able to be clicked once.
    • Individual Disclosure Letters have been decommissioned from CRD Activities.
April 29, 2021 Reports
  • New Report home page layout with the ability to search for custom reports and templates, see recently viewed reports and templates and to re-download recent exports.
  • Advanced Export feature now allows people to download more than just one sub table.
  • New Export functionality no longer requires users to wait while the file is generated. Request an export and comeback anytime within 24 hours to download the generated file.
April 24, 2021 U4
  • Fixes and Enhancements: 
    • Simplified the workflow for Allow Rep Edits and made the Rep Completion Status more user friendly.
    • Auto-Select Registration button fixed to only be available for the rep if they have access to the Registration section in FinPro.
    • Data Entry Navigation for Signatures is now after the Summary section.
    • Users will be redirected to the home page of FINRA Gateway after a U4 submission instead of the individual's profile.
    • New user redirect will fix the issue of seeing an error message after submitting a U4 Initial successfully.
    • Applicable actions are now available for individuals with “Purged” registrations on their Profile.
    • Completeness Checks fixed to only show up for individuals that should see it.
April 23, 2021 Profiles
  • Fixes and Enhancements: 
    • U4 & U5 call-to-action options added to Individual Profile for individuals actively associated but in “Purged” registration status.
    • "Add as an Owner (u4 Pg 2)" renamed to "Add as a BD Owner (U4 Pg 2)" to provide additional clarity.
April 22, 2021 Requests
  • Bug Fix to allow the UI to refresh when modal closes or work item is deleted
April 18, 2021 U4
  • Fixes and Enhancements: 
    • Upon submission of a U4 Amendment for individuals with affiliate employments and more than 20 inactive employments the filing looks like it is successfully submitted however it fails in processing. This change will all it to process successfully upon a new submission. 
    • Users with ChFC designations will no longer have their designation removed upon submission. Any affected individuals because of this bug has had their designations accurately updated.
April 16, 2021 Profiles
  • Enhancements
    • Industry Arrangements information added to the BD firm Profile.
    • Link to Filing History in classic CRD added to Individual profile.
    • Link added to the "FINRA Entitlement Program Agreement and Terms of Use" in Pre-registration search attestation language.
  • Usability improvements
    • Branch search tool tip will be fully visible in profile search widget in header.
    • "More locations" link in individual profile summary will re-direct to Office Locations in Registrations section.
    • Individual name added to the BD Page 2 Deficiencies information.
    • Performance improvements to load U4 draft count quickly in Individual Profile.
  • Bug Fixes
    • U4/ U5 call-to-actions fixed to show the appropriate actions in some instances when the individual is currently employed but the system failed to recognize the association.
    • 'Advisor' is renamed to 'Adviser' through the system to fix the typo.
    • "Last updated" date fixed to display correct date for BD, and Individual Disclosures.
April 15, 2021 Requests
  • Bug fix so that total work item count and filters are consistent when switching between worklists.
  • New warning message for "No Work Items"
April 8, 2021 Requests
  • Full Text Search abilities so that users can quickly search for work items.
  • Completed Worklist added to allow users to see all their completed work items.
April 4, 2021 U4
  • Form U4 Retirement in Classic CRD: 
    • Ability to start a U4 (Initial, Amendment, Dual, Relicense All, Relicense BD, Relicense IA) in Classic CRD will go away. FINRA Gateway will be the only application that will support the creation of U4
    • Failed Web EFT submissions will now create a draft in FINRA Gateway instead of Classic CRD and can be found in Work Management Requests.
    • Pending Filings in Classic CRD is going to get invalidated and will be available for Read-Only
    • Submitted Filings/Historical Filings will still be available in Classic CRD
  • Anonymous site (Rep Edit) Retirement: 
    • Filings made using the new filing experience require the professional to use FinPro for collaborating with Allow Rep Edits functionality.
March 29, 2021 Profiles
  • Call-to-Action links will only display those actions in which the user is entitled to.
  • Re-named Call-to-Action links to use correct nomenclature for Form filing actions (Ex: "Form BD" instead of "BD Form")
  • Bug Fix: Individual disclosure information now denotes Customer Complaint disclosures archived for specific reasons are still available in BC/IAPD.
March 15, 2021 Profiles
  • Disclosures information added to the BD firm Profile.
  • Re-designed firm profile landing page to show main BD and IA summary information together.
  • Pending U4 indicator added to the individual profile.
February 27, 2021 Profiles
  • New information made available in the BD firm profile:
    • Owners & Executive Officers information
    • Summary counts for key BD related items
February 27, 2021 U4
  • Fixes and Enhancements: 
    • Alert added regarding the announcement to temporarily stop automatically opening exam windows for applicants requesting only New York RA registration
    • Fixed an issue where Redlining changes were not showing colors while printing/saving as pdf
    • Fixed an issue with Rep in FinPro getting a continuous loading icon while trying to either Save/Review Form (Form View) on the filing
February 20, 2021 U4
  • Fixes and Enhancements: 
    • Archived DRPs are available for Customer Complaint DRP 
    • Updated the design of the Redlining Modal filters to be more dynamic and easier to use
    • Enhanced the structuring of Affiliated Firm changes in the Redlining Modal
    • Fixed an issue with cache in the navigation panel of the form view where it highlighted the previously selected section
    • Fixed a bug with the process where the filing type will automatically switch from "Relicense" to "Initial" after 30 days without invalidating the filing
February 19, 2021 Reports
  • Enhancements:
    • Share feature allows users to share custom report settings with other FINRA Gateway Report users
    • Save As feature allows users to save iterations of custom reports without overwriting the original
  • New Reporting Templates:
    • The CE Download, CE Required, CE Inactive, CE Satisfied, CE Two Year Termed, CE Approaching Requirement and Supervising OSJ Branch templates have all been updated to remove nested information. These reports now align more closely with the Classic CRD versions that firms are used to.
    • Four, NY IAR templates are available to help NY firms onboard IAs to CRD in time for the July 2021 deadline. These new templates are designed to assist in identifying individuals who may be subject, who have completed the process, and others who have opened a testing window (which may or may not be required).
February 16, 2021 Profiles
  • Navigation menu added to Firm and Branch Profile pages. Allows users to click and navigate to different sections more easily.
  • Bug fix to adjust the CHRI Terms & Conditions pop-up to show action buttons on smaller resolution screens.
February 6, 2021 U4
  • Fixes and Enhancements: 
    • Enhanced performance for a faster response time when opening a draft, doing data entry, viewing the form and when using the ‘Compare with Previous Filing’ feature
    • Fixed a cache issue where the draft would get stuck and users would have to refresh for the form to load
    • Fixed a margins issue when printing the full U4 form around the Registration section
    • Compare with Previous Filing feature now available in the Review Form View prior to submitting the filing
February 1, 2021 Profiles
  • Registration, Deficiency and Affiliate information now available in Firm BD Profile.
  • U4 concurrence CTA link changed to only display for Dually registered individuals.
January 23, 2021 U4
  • New and Improved Features:
    • Compare with Previous Filing in the Form View where you would be able to view the changes you have made to the filing before you submit. All edits are highlighted, showing additions, modifications and deletions on the form
    • Ability to Print/View in the Form View that will give you the ability to view/print all sections or just the section you want
    • Update to the Allow Rep Edit flow where Reps and Firm can collaborate in a shared, streamlined data entry flow back and forth
  • Fixes and Enhancements:
    • Added the ability to edit older version of DRPs
    • Enhancement to the process where the filing type will automatically switch from "Relicense" to "Initial" after 30 days without invalidating the filing
    • Updated design and experience for the Office Location branch lookup
    • Added supervising CRD# as a search criterion for branch lookup in office locations
    • Fixed the issue with navigating from one field to the next by hitting tab, caused by a bug in date picker component
    • Fixed an issue with pre-populating the unaffiliated flags for a U4 Amendment
    • Added tooltips for View, Edit and Delete icons
January 21, 2021 Dashboard
  • New abilities added to firm setting history
    • Filter the data for 3, 6 and 9 months and specific date ranges
    • Export filtered data
January 15, 2021 Reports
  • Improved date picker to make it easier to view previous years when filtering by dates.
January 15, 2021 Profiles
  • "Save" workflow improvements to Individual and Branch Roster functionality.
  • Pre-registration acknowledgment moved from search results page to just before the profile loads.
December 23, 2020 Requests
  • Bug Fix for “No Work Items” warning page.
December 18, 2020 Profiles
  • Disclosures Information added to Individual Profiles.
December 18, 2020 Reports
  • The following were added to Reports:
    • Dynamic filtering for value lookups
    • Fingerprint card status information
    • Firm registration status history
  • Data parity for all CRD firm-facing queues slated for Dynamic Reporting
December 17, 2020 Reports
  • 4530 Customer Complaints and Disclosures Data now available in Reports
December 11, 2020 Profiles
  • FINRA regulatory contacts added to Firm Profile
  • Fingerprint and SSN information added to Individual profile. Viewable to those with the appropriate entitlements.
December 11, 2020 Requests
  • Only Work Items users are entitled to will appear from now on. This is driven by a user’s current entitlements.
December 5, 2020 Requests
  • Information Requests work items now assigned as “General” type to be more informative.
November 23, 2020  Dashboard
  • New Recently Viewed feature provides access to the 10 most recently viewed places within FINRA Gateway. All recently viewed places are viewable and searchable by date or text. Recently viewed activity will only be available from the date of our production release moving forward.
November 21, 2020 U4
  • All Form U4 filings now available in FINRA Gateway (i.e., Initial and Amendment Form U4 filings, now Page 2 Initial and Amendment, Dual, Relicense All, Relicense BD, Relicense IA and Concurrence)
  • Feature Highlights:
    • When registering a new individual, the Actions Card in the individual’s profile will display a link to "Add as a Rep" and the system will infer the correct Form U4 filing based on a combination of the individual's current status and the firm's responses within the filing (i.e., users no longer have to select specific filing types). The Actions Card will also display other appropriate filing types in the Action Card when applicable.
    • Defaulted the date picker to the current date for users to select in the Signatures section
    • Added more grouping to the Completeness Check in the Registrations Requests with Firms
  • Additional Notes:
    • Classic CRD U4 experience continues to be available, at this time, for all U4 filing types
November 21, 2020 Profiles
  • Enhanced capabilities to customize data & save preferences in Individual and Branch Rosters
November 20, 2020 Requests
  • New warning page to display when there are no work items
November 17, 2020 Dashboard
  • My Settings and My Account pages consolidated to one page with two tabs for My Information and My Settings.
November 12, 2020 Requests
  • New warning page to display when there are no filtered results
November 9, 2020 Contacts
  • FINRA Staff Contacts now available in FINRA Gateway. Users now have access to key points of contact at FINRA
November 5, 2020 Requests
  • Error messages updated to remove extraneous information
October 31, 2020 U4
  • Data entry experience for Initial & Amendment U4 filings is now available within FINRA Gateway
  • Feature Highlights:
    • Start a U4 filing in FINRA Gateway by searching for the individual (pre-registration search if individual is new to your firm) and from the individual’s profile select the appropriate U4 filing type
    • Access draft U4 filings by filtering the Requests section of FINRA Gateway
    • Collaborate with individuals using the optional “Allow Rep Edits” feature
  • Additional Notes:
    • Classic CRD U4 experience continues to be available, at this time, for all U4 filing types
    • U4 filings created in Classic CRD must be resumed and submitted in Classic CRD, while U4 filings created via FINRA Gateway must be resumed and submitted via FINRA Gateway
    • All submitted U4 filings (regardless of the path chosen) will be available in the individual’s filing history in Classic CRD
October 29, 2020 Requests
  • Card layout corrected for Information Requests work items
  • Work Items enhanced to include “U4 Rep Completion Status” and “U4 Delete” action
  • Default ‘Sort By’ set for work items when there is no user selection
October 21, 2020 Requests
  • Bug Fix to stop incorrectly displaying the “Technical Issue” error message when a user clicks the Requests icon from the left navigation panel.
October 19, 2020 Requests
  • eFocus Quick Link added under the Requests’ History tab.
October 13, 2020 Dashboard
  • Requests Card removed from the dashboard
October 13, 2020 Requests
  • Requests has been redesigned and now includes
    • Simplified Filtering- improves efficiency​ in finding request items
    • Improved Data Layout- quickly identify compliance and regulatory request items
    • Create Filings – the ability to create optional filings
    • History - a cabinet with quick links to view and/or perform additional actions on work items
October 9, 2020 Announcements
  • Read/Unread announcements distinguishable by visual indicators
October 5, 2020 User Support
  • Drop down category selections now available when creating a support ticket, helping route tickets to the appropriate FINRA teams more efficiently. A tool tip is available to provide category definitions.
September 14, 2020 Dashboard
  • Quick Links now available on top of the homepage for easy access
September 14, 2020 Profiles
  • New sections/tabs to the Branch Profile:
    • Registrations and Deficiencies
    • Branch Office Space Sharing and Other Business Affiliates
    • Address and Supervisor/ Person-In-Charge to Branch History
    • Branch Office Agreement, Entities with Financial Interest, Location of Records and Branch Websites to Branch Information
September 8, 2020 Profiles
  • Bug fix so users will not see an "Access Denied" message when viewing a Full Branch Profile popover
September 1, 2020 Requests
  • Fix to retroactively close U5 Required work items that are appearing as open as a result of the Bug that was fixed on August 20.
August 31, 2020 Requests
  • Fix to retroactively close Branch Deficiency work items that are appearing as open as a result of the Bug that was fixed on August 27.
August 27, 2020 Dashboard
  • Access to Firm settings feature added under the Admin Icon
August 27, 2020 Requests
  • Bug fix to the Branch Deficiency filter for work items that are appearing as open even though the necessary action has been completed by the firm. 
August 24, 2020 Profiles
  • Updated label in Profiles to "View/Print" to highlight direct navigation to the printer-friendly individual profile in Classic CRD.
August 20, 2020 Requests
  • Bug Fix to close U5 Required and Branch Deficiency work items that incorrectly appear open even when completed
August 10, 2020 Dashboard
  • Enhanced functionality to allow the U4, U5 and Account Management applications to be maximized or opened in a new browser window.
August 4, 2020 Profiles
  • Branch Billing Code now in Individual Profile with the Office Location for both registered and non-registered branches
  • Added Proctor Center name and location of scheduled exams within the Pending Exams section on Individual Profile
  • Branch Search Results enhanced by separating the active and inactive branches and by including Location (City, State, Postal Code)
August 3, 2020 Dashboard
  • Access to User Administration feature added under the Admin Icon for Super Account Administrators (SAAs) and Account Administrators (AAs).
  • New Quick Links added: Information Requests, 4530, FINRA Trace New Issue, Order Audit Trail System (OATS).
July 27, 2020 Profiles
  • Identifying information for Individual Profile added in the Personal Information section
  • Firm Name and CRD# added to the Individual Summary and bug fixed for the BD/IA Main Office information 
  • Popover size increased from 1000px to 1064px
July 13, 2020 Profiles
  • Enhancement to Individual Profile cards to give users the ability to click anywhere on the card & not just the arrow to expand a section
  • Added Scores for Failed Exams in Individual Profile
  • Added suffix to the name for the Individual Search results
  • Bug fix for Firm Billing Code to make the code available in the Individual Profile summary and the Office Locations within the Registration section
July 13, 2020 User Support
  • Increased upload file size for self-service tickets
June 29, 2020 Profiles
  • Bug fix for CE status of an individual profile.
June 29, 2020 Dashboard
  • Bug fix to correct announcements from showing incorrect unicode characters.
June 22, 2020 Profiles
  • Bug fix in Individual Profile to allow the profile to load even when information is missing.
  • Bug fix for Branch Roster to support multiple and active Person(s) in Charge.
June 22, 2020 Reports
  • Improved Dynamic Reporting experience for selecting & removing columns
  • Complete Branch data grids are now available.
June 15, 2020 Profiles
  • Individual Search suggestions feature will provide suggestions based on what is being searched for.
  • New Branch Search criteria to allow searches by City, State and Postal Code.
June 14, 2020 Dashboard
  • New prompt invites users logging in to MyCRD to preview and move to FINRA Gateway.
June 8, 2020 Dashboard
  • My Profile is now My Account. Access to update personal profile information is still available.
June 8, 2020 Profiles
  • IA FIRM Summary and a Firm’s full profile now available in Firm Profile.
  • Filing and Approval Date added date for Individual Registrations.
  • Enhanced Positions icon now has hover over functionality.
  • Customized error messaging added on individual fields and counts for ease of awareness, in case of technical issues.
May 28, 2020 User Support
  • Create & submit a support ticket from anywhere within FINRA Gateway.
May 28, 2020 Profiles
  • Branch Roster bug fix to remove main office/invalid branches.
May 26, 2020 Profiles
  • Registrations layout enhanced to separate SRO & State Registrations, also adding pagination and count.
  • Completion date added to Continued Education section.
  • Appointment details for Pending Exams added.
May 26, 2020 Dashboard
  • New prompt invites users logging in to Firm Gateway to preview and move to FINRA Gateway.
  • New prompt for users utilizing unsupported browsers to upgrade upon login.
May 22, 2020 Reports
  • Disclosure, Deficiencies, and Registration Status History fields added to Reports registration templates.
May 13, 2020 Dashboard
  • E-Bill badge is on the Dashboard. Available to entitled users; displays balance as of the previous night. To be enhanced in the future to display current balance as posted throughout the day.
May 8, 2020 Profiles
  • Investment Advisor (IA) Affiliation in Individual Profile
April 27, 2020  Profiles
  • New Continuing Education History section for Individual Profile
  • 'Termed' status for Individuals in Continuing Education section
  • FINRA Risk Monitoring Analyst and its contact information in the Firm Profile summary
April 27, 2020   Dashboard
  • New Announcements feature in banner of landing page and in new dropdown list, which mirrors announcements in classic Firm Gateway
  • Enhanced icon for User Account Settings  
April 17, 2020   Reports
  • New reporting templates that resemble myCRD activity queues
  • Refine your data using relative date filters for more reusable custom data views.
  • Export sub-tables within data views to a CSV file.
  • Sort data views on grouped fields.
April 17, 2020  Profiles
  • Search for Individuals by Full Name and Other Names (e.g., first, middle, last or suffix, in any order.)
  • Filter and sort the Individual Roster by Name, CRD Number, Billing Code and Outside Business.
  • Filter and sort the Branch Roster by CRD Number, City, State, Billing Code, Branch Type, Phone Number and Deficiency Status
  • Browse the Individual and Branch Rosters using pagination.
  • Expand and collapse all cards on Firm and Individual Profile screens
  • Enhancement to the Registration section - clean up Deficiencies by grouping them, added Private Residence indicator for Office Location and added termination explanation
  • New Statutory Disqualification Status field on the Individual Summary