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FINRA Gateway Release Notes

Date Feature Description

04 August 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)

03 August 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).

27 July 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

13 July 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
13 July 2020 User Support
  • Increased upload file size for self-service tickets

29 June 20

Profiles

  • Bug fix for CE status of an individual profile.

29 June 20

Dashboard

  • Bug fix to correct announcements from showing incorrect unicode characters.

22 June 20

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.

22 June 20

Reports

  • Improved Dynamic Reporting experience for selecting & removing columns
  • Complete Branch data grids are now available.

15 June 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.

14 June 2020

Dashboard

  • New prompt invites users logging in to MyCRD to preview and move to FINRA Gateway.

08 June 2020

Dashboard

  • My Profile is now My Account. Access to update personal profile information is still available.

08 June 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.

28 May 2020

User Support

  • Create & submit a support ticket from anywhere within FINRA Gateway.

28 May 2020

Profiles

  • Branch Roster bug fix to remove main office/invalid branches.

26 May 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.

26 May 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.

22 May 2020

Reports

  • Disclosure, Deficiencies, and Registration Status History fields added to Reports registration templates.

13 May 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.

08 May 2020

Profiles

  • Investment Advisor (IA) Affiliation in Individual Profile

27 Apr 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

27 Apr 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  

17 Apr 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.

17 Apr 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