FINRA Gateway Release Notes

The following new widgets are available in the dashboard settings and will only display if added to the firm dashboard:

• Registration-focused dashboard widget to assist firm with the collaboration process with their registered reps.
• Report center widget that displays a count of unread reports and recently published reports.

An Individual’s Residential Supervisory Location (RSL) information is displayed in the Summary and Office Locations sections.

• RSL Status: The current RSL Status for the locations associated to the individual for the logged in firm will be displayed in the Summary Section.
• RSL History:
  • A new field for RSL Status was added in the Office Locations sub-section under the Registrations section displaying the RSL status for the applicable locations for all the firms that the individual is/was associated with.
  • The RSL status is displayed as hyperlink and when clicked, will further expand to display the RSL History along with dates.

A new tooltip was added for “Date Period” column under “Office Locations” sub-section in the Registrations Section.

Firm Profiles:

In anticipation of a new version of Form PF becoming effective on March 12, 2025, firm users will now have the ability to create a draft of the new Form PF version for sections 1-4 using the modern data collection experience. Three new links will be added:

• Form PF Section 1-4: This hyperlink is added to the ‘Actions’ Section in Firm Profile. When clicked on the link, a new browser tab will open allowing firms to initiate a Form PF - Section 1-4 Filing based on the new version.
• Form PF – Section 1-4 Draft: This hyperlink is placed under ‘Filings’ Section which will navigate to display the form PF Section 1-4 Draft. As there can be only one “Form PF 1-4 draft” at a time, the count of draft will not be displayed.
• Generate Private Fund ID: This hyperlink is added to ‘Actions’ Section in Firm Profiles. When clicked on the link, a pop-over will open allowing the user to generate Private Fund ID and time the ID is generated on.

Event History:

“Event History” table view now supports display of Form PF Section 1-4 Filings.

• “Filing ID” hyperlink for Form PF Section 1-4 filings will navigate to respective system (PFRD/FINRA Gateway) where the filing is done.
• Five new table columns are added to the Event History that are applicable for Form PF 1-4 filings. For non-PF Section 1-4 filings, these columns will display a ‘-’ (hyphen).
  • Reporting Frequency
  • Filing Type
  • Reporting Period
  • Reporting Quarter
  • Submission Method
• Also, ‘Status’ and ‘Archived’ fields now provide the ability to filter filings.

• Two new statuses were added for Investment Adviser Representatives (IAR) CE
  • Not Applicable Status: Green Color 
  • Termed Status: Red Color 
• If a firm has enabled the Regulatory Element CE Firm due date setting, a ‘Firm due date’ is now displayed on the individual’s Summary and Continuing Education sections. The existing due date is renamed as SRO due date.

• A new “Residential Supervisory Locations” template that firms can use to track locations that have been designated as Residential Supervisor Locations (RSLs) will become available.
• RSL related fields will become available in the “Active Individuals”, “Branch Roster”, Branches by Deficiency Status”, and “Person in Charge” templates.

If a firm has defined an earlier firm CE due date via FINRA Gateway, this date will be displayed on FinPro on the individual’s profile summary, CE Reminders, and CE sections when they are required to take the Regulatory Element CE.

If the individual has multiple firm associations and have multiple firm CE due dates applicable, only earliest firm CE due date will be displayed.

Regulatory Task Catalog will be available for all firm users in FINRA Gateway. This new feature will replace the current Browse Forms & Filings feature in Requests & Filings and provide users a more effective way to search for the forms, filings, or other regulatory items they want to initiate or learn more. 

There will be 3 entry points to Regulatory Task Catalog:

1. Via Regulatory Task Catalog widget on the dashboard. This new widget will be displayed to all firm users by default. 
2. Via the 3rd micro app icon "Regulatory Task Catalog" on the left navigation bar. 
3. Via the "Browse Regulatory Tasks" link in the Requests & Filings application.

Individual Profiles:

• The IAR CE sub-section under the Continuing Education section will now display yearly accordions for all years including the years with “No Courses” completed in descending order. Previously, years without courses completed were not displayed.
• Minor Fix to address the font for the “Continuing Education” section. With this fix, the font will be the same as other sections.

• Individuals can create FinPro accounts using their Gmail credentials. Click here to learn more.
• Enhanced account recovery process to improve user experience.
• Provide the ability to view and edit email addresses on the FinPro summary section.

E-Bill, FINRA's financial system, is now integrated with FINRA Gateway. A new Wallet feature has also been launched with this integration to support centralized payment management.

Entitled users can access E-Bill through a widget or the left-hand navigation bar in FINRA Gateway. There is also a direct link to the application.

Consult the E-Bill page for more information about the system.

Individual Profiles:

Summary:

• IAR CE Status hover-over language has been updated for “Failed to Renew” and “Termed” Statuses

Qualifications Section:

• Informational URLs have been moved from the top of the section, to display next to the respective column headers.
  • Exam History Section
    • “Information on Validity” URL moved beside the ‘Validity’ column.  
    • “Information on Result status” URL moved beside the ‘Result’ column. 
  • Pending Exams Section 
    • “Information on Scheduling Exams” URL moved beside to Appointment Date column. 
• “Exam Code” column has been enhanced to display the specific Exam Code description, upon hovering on the exam code. This change is implemented for Exam Code column in both “Exam History” and “Pending Exams” tabs under Qualifications section.  
• Date format across all tabs – (Exam History, Pending Exams, Exam Waivers, Professional Designations) has been updated from “mon dd, yyyy” to “mm/dd/yyyy” to keep it uniform across all sections.  

Firm and Branch Profile:

• Fix to address the issue where the registration status displayed in the Broker Dealer section of the Firm profile landing page is not displayed. With this fix, the user will be able to view the SEC registration status.  
• Fix to address the duplicate entry in “Recently viewed” section for Branch Profile visit. With this fix, the user will be able to see only one branch profile entry with appropriate URL info to navigate.  
• Fix to address the issue with branch website URL that doesn’t open in a new window. With this fix, the user will be able to open websites under the branch websites tab under Branch Information section in a new window.

Regulatory Element Annual CE Report Template Enhancements

• Added the “Course Completion Date” field to the Annual Reg Element templates as an optional field.

• As a mandatory security measure, Duo is changing the way users interact with multi-factor authentication (MFA). Starting 3/2, users will notice the new user experience when completing Duo MFA.
• MFA information web site https://www.finra.org/filing-reporting/multi-factor-authentication and FINRA MFA Guide linked on the site are updated with detailed instructions and screenshots of the new user experience.
• This is only a user experience change and not an expansion of users subject to MFA.

• Provide users the ability to view the Quick Link description when hovering over the Quick Link on the dashboard widget. 
• Add a new Quick Link “Membership Application Program Compliance Tool” on the dashboard widget so that New Member Application(NMA) users can easily access https://www.finra.org/compliance-tools/map-tools.

Bug Fixes: 

• Fix to address the issue where the Individual Profile – Continuing Education - CE history prior to 2023 section label was incorrectly displaying the current year (“CE History Prior to 2024”). With this fix, the label will always display “CE History Prior to 2023” instead of the current year which is in-line with the data displayed.
• Fix to address the issue with Firm Profile Dynamic Reporting grids where the grid was not automatically getting refreshed when a change was made. With this fix the grid automatically gets refreshed after an edit.