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FINRA Gateway Release Notes

Date Feature Description
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