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Firm Gateway

As part of our commitment to helping firms meet their regulatory obligations, we developed and continue to enhance the Firm Gateway – a single point of service allowing firms to quickly comply with rules, gather information, and interact with FINRA.

Digital Experience Transformation (DXT)
FINRA’s Digital Transformation will focus on a series of new FINRA systems and tools to transform FINRA’s external digital experience with the goal of helping the industry reduce costs, run more effective compliance programs and enable automation to increase efficiency.

The Firm Gateway provides:

The applications and filings that firms can access through the Firm Gateway include: Web CRD, IARD, OATS, Report Center and virtually all electronic regulatory filing applications, including FOCUS, Firm Profile, FINRA Contact System, and 4530 Customer Complaints.

Accessing Firm Gateway

Release Schedule

July 23, 2016

  • Enhancement: Filing reminders are grouped by their due date and type.

May 14, 2016

  • Enhancement: Filing reminders support for email and multiple calendar types.
  • Enhancement: Accounting Portlet support for the enhanced E-Bill application.

January 29, 2016

  • Enhancement: Firm Gateway is now available for Funding Portals

December 19, 2015

  • Enhancement: Decommissioning of Futures Commission Merchant (FCM) application.

September 26, 2015

  • Enhancement: Launched Systems Information page
  • Enhancement: Increased reliability of Firm Gateway login

May 23, 2015

  • Enhancement: Launched User Feedback Community sign-up through the “Join Now” portlet.
  • Fix: Add to Outlook from Announcement was stored in GMT instead of Local time.

April 25, 2015

  • Fix: Home tab blank screen for IA Only Firms.

March 28, 2015

  • Enhancement: Header section now shows User ID
  • Enhancement: Home Page changes as below:
    • Added “Education Links” portlet to the home page
    • Simplified the “Do you have a question” portlet
    • Updated “Resources” portlet
    • Removed “Upcoming Rule Filings” portlet

January 10, 2015

  • Fix: Removed the 3012 filing reminder entries
  • Fix: Printing issue on Report Center