| Release Date |
System |
Area |
Description |
|---|
|
September 16, 2023
|
FINRA Gateway Login Experience
|
Fast Account Switching
|
The experience has been updated for individuals with only a single account saved. When logging in, the individual account will be pre-selected (only requiring the user to click login). Additionally, the pop-up dialog after clicking login, warning that you are changing accounts, has been removed.
|
|
September 14, 2023
|
FinPro (Financial Professional Gateway)
|
NASAA’s AG EVEP Payment and Enrollment
|
Changes Supporting NASAA’s Exam Validity Extension Program for Broker-Dealer Agents
- Industry professionals who are are enrolling in both MQP and NASAA's AG EVEP will see clear guidance that two separate payments are required to be fully enrolled in both programs.
|
|
September 14, 2023
|
FinPro (Financial Professional Gateway)
|
Individual Information updates
|
Changes Supporting Industry professionals
- Residential Address updates (for non-registered individuals): Better error messaging when entered information does not meet validation criteria.
- Email Addresses: Better error messaging when entered email addresses do not meet format criteria.
|
|
August 31, 2023
|
FINRA Gateway
|
Requests and Filings
|
Fixed: Pagination indicator was displaying incorrect page number when applying filters and search
|
|
August 28, 2023
|
FINRA Gateway
|
Individual Profiles
|
Changes Supporting NASAA’s Exam Validity Extension Program for Broker-Dealer Agents
- Summary section: Display enrollment and CE completion status for the North American Securities Administrators Association (NASAA)’s Exam Validity Extension Program for Broker-Dealer Agents (AG EVEP).
- Maintaining Qualifications Program (MQP) Enrolled Qualifications section: Display details about each state qualification exam under NASAA’s AG EVEP.
- Exam History section: Display NASAA’s AG EVEP historical exam credit information.
|
|
August 28, 2023
|
FINRA Gateway
|
Reports
|
Changes Supporting NASAA’s Exam Validity Extension Program for Broker-Dealer Agents
- NASAA’s AG EVEP credit dataset added to Exam reports.
|
|
August 28, 2023
|
FinPro (Financial Professional Gateway)
|
Notifications
|
Changes Supporting NASAA’s Exam Validity Extension Program for Broker-Dealer Agents
- MQP system notification updated. Industry professionals who are eligible for both the MQP and NASAA’s AG EVEP program will receive notifications that provide information for both programs in one communication.
|
|
August 28, 2023
|
FinPro (Financial Professional Gateway)
|
NASAA’s AG EVEP Payment and Enrollment
|
Changes Supporting NASAA’s Exam Validity Extension Program for Broker-Dealer Agents
- MQP participants who are currently enrolled or choose to enroll in the MQP and are also eligible to enroll in NASAA’s AG EVEP will have the ability to select and pay their participation fee for each state qualification exam.
|
|
August 28, 2023
|
FinPro (Financial Professional Gateway)
|
Individual Information
|
Changes Supporting NASAA’s Exam Validity Extension Program for Broker-Dealer Agents
- Summary section: Display enrollment and CE completion status for AG EVEP.
- MQP section: Display details about each enrolled, previously enrolled, and eligible state qualification exam under NASAA’s AG EVEP.
- Exam History section: Display NASAA AG EVEP exam credit information.
|
|
August 14, 2023
|
FINRA Gateway
|
Notification Bell
|
- Reduced the size and relocated the red circle that displays on the Gateway Notification Bell so that it is easier to click on the Bell to open the notification menu.
|
|
August 5, 2023
|
FINRA Gateway
|
Individual Profiles
|
- Fixed: If an Individual profile had a high number of registrations some of the information may have been cut off or not visible.
|
|
July 31, 2023
|
FINRA Gateway
|
User Login
|
Introduction of Fast Account Switching
- Firm accounts are now able to be remembered on a web browser basis. By saving more than 1 account, a user will be able to switch between the saved account without logging out and logging in (as long as the account being switched to is still active or does not require a password change).
- Users can switch by leveraging the “manage log ins” feature found in the user profile menu (circle with user initials on the top right of the page).
- Users will have to login with 1 of the remembered accounts using the same rules that exist prior to introduction of this functionality (example inactivity).
- The feature currently allows for up to 20 remembered accounts.
|
|
July 21, 2023
|
FINRA Gateway
|
Requests and Filings
|
Display of Creation Date
- Display the date the request was created for Information Request work item cards
Display of accurate counts on the Active, Completed and Save View tabs
- Remove the 10k limit and display the “actual” total counts for the Active tab, Completed tab and Save view tabs
Enhancements to Search
- Increase the limit of the number of characters entered in the Search box from 30 to 100.
- Allow users to search by the following special characters - @&,.'
|
|
July 20, 2023
|
FinPro (Financial Professional Gateway)
|
User Experience
|
- Provide link to describe exam validity statuses and explanation specifically for expired S66
- Re-order the Action links by usage
- ‘Enroll in SIE’ will only be available conditionally
- Change displayed IAR CE Status values to be consistent with other Continuing Education Statuses.
|
|
July 13, 2023
|
FINRA Gateway
|
Information Requests
|
Restrict access to requests ‘Withdrawn’ by FINRA
- Access to the Requests that are ‘Withdrawn’ by FINRA will be restricted from the links in the email notifications
|
|
July 7, 2023
|
FINRA Gateway
|
Requests and Filings
|
Updates to eFOCUS (Financial/Operational) work items
- Filing Analysis is no longer available.
- Compare filings action and workflow have changed.
|
|
July 6, 2023
|
FINRA Gateway
|
Account Management
|
New filter for account management
- The capability to filter for disabled accounts was added.
|
|
June 30, 2023
|
Classic CRD
|
Information Security
|
- Pre-registration search results for individuals without an SSN (search includes only last name + DOB) will no longer display individuals that have a SSN.
- Numbers will be masked upon data input on all SSN fields.
|
|
June 24, 2023
|
FINRA Gateway
|
Individual Profiles
|
IAR CE Waiver Information Display
- Updated profile displays for the individual to show if an individual currently has a wavier for the IAR CE requirement.
|
|
June 22, 2023
|
FinPro (Financial Professional Gateway)
|
Support
|
Chat Support added to FinPro & Redesigned Help Navigation
- Help options have been consolidated to a help navigation located on the top right of the page.
- A new chat with an AI-based digital assistant feature has been added to allow for self-service support.
|
|
June 12, 2023
|
FINRA Gateway
|
User Information
|
Enhanced User Information Display
- Introduction of display of the username, firm name and firm organization ID to user profile menu (circle with user initials on the top right of the page).
|
|
May 19 2023
|
FINRA Gateway
|
Reports
|
New Report Templates
- IAR CE Firm Course Completion Template
- Annual Reg Element – Overall CE Status by Registered Individual
- Annual Reg Element – Overall CE Status is Satisfied
|
|
April 13, 2023
|
FINRA Learning Experience Platform
|
FinPro integration
|
- Representatives registered with firms that are leveraging FINRA’s Firm Element Learning Management System can now access course via FinPro.
|
|
March 31, 2023
|
FINRA Gateway
|
Individual Profiles
|
Maintain Qualifications Program Continuing Education History
- Introduced the ability to see full MQP Continuing Education History in the individual’s profile.
|
|
March 16, 2023
|
FINRA Gateway
|
Notification Settings
|
Year removed from Annual Reg Element CE Date
- Changed the date picker to only use Month and Day for the selection of firm due date for Reg Element in the optional firm settings.
|
|
March 9, 2023
|
FINRA Gateway
|
FINRA Contacts System (FCS)
|
FINRA Contacts Label Change
- Label for FINRA Role updated from Single Point of Accountability (SPOA) to Vice President/Senior Director, Risk Monitoring.
|
|
February 23, 2023
|
FINRA Gateway
|
Requests and Filings
|
Updates to items displayed per page
- The default number of items displayed per page is increased from 10 to 25.
|
|
February 9, 2023
|
FINRA Gateway
|
Information Requests
|
Remove the requests ‘Withdrawn’ by FINRA
- The requests sent to the firm and later ‘Withdrawn’ by FINRA are no longer visible in Requests and Filings in FINRA Gateway or Request Manager Portal.
|
|
January 26, 2023
|
FINRA Gateway
|
Information Requests
|
Text Formatting
- Users are now able to apply various formatting to their comments in the Details section of the item response form and view the formatted comments in the activity section once submitted in FINRA Gateway and Request Manager Portal.
|
|
January 23, 2023
|
FINRA Gateway
|
Requests & Filings - Search
|
Search Improvements
- Users can search with specific phrases and get the exact match by adding the phrase within double quotes; inclusive of searches that contain special characters. (eg: “2022-01”).
|
|
January 23, 2023
|
FINRA Gateway
|
Requests & Filings – Account Management
|
Account Management Cards
- Users will now be able to see only the account management work items that are relevant to them - based on the requestor and authorized signatory.
|
|
January 19, 2023
|
FINRA Gateway
|
FINRA Contacts System (FCS)
|
New section “FINRA Department Contacts”
- Under FINRA Staff Contacts, a new section “FINRA Department Contacts” was added in the Contacts section of FINRA Gateway.
|
|
January 3, 2023
|
FINRA Gateway
|
Automated Regulatory Element CE notifications to individuals
|
Launch the new Continuing Education (CE) Notification Settings
- Retired the previous CE Notification Settings in Firm Settings.
- Settings preferences changed to send reminder emails for CE completion on January 15, April 15, July 15, October 15, December 1, December 15
- Firms also have an option to send a notification based on CE status changes such as: CE Required, CE Inactive, CE 2-Year Termed and CE Satisfied.
- The ability to add a firm due date is available as an enhancement per firm request.
- The ability to add multiple firm contacts as cc is available now.
|
|
January 1, 2023
|
FINRA Gateway
|
Annual Reg Element CE Program
|
Changes to support the Annual CE Program
- Updates made across FINRA Gateway, FinPro, and FINRA Gateway Reports to support FINRA Regulatory Notice 21-41 also known as the Annual CE Program.
- Changes impact display of continuing education in the individual profiles and reports available to the industry for tracking program completion.
- For detailed list of changes see CE Systems Changes Jan 23
|
