FINRA Registration Systems Foundation In-Person Training Schedule & How to Register
In-Person Registration Systems Foundation (Fee $300 per person*): includes a single day of in-person training for firms on FINRA Gateway and related systems. This training is designed for compliance personnel who are new to registration and licensing or need to become more familiar with using FINRA Gateway and submitting Uniform Forms (U4, U5, BR).
The single day of in-person firm training offers practical instruction on how to navigate FINRA Gateway and complete basic tasks.. The format of the training will be live system demonstration in a conference room environment. Attendees are encouraged to bring their own laptops and personal system login to follow along with the training. Breakfast and lunch are provided. Space is limited, so register early.
- Overview of FINRA Gateway
- Firm and Individual Profiles
- Form U4/U5 Data Collection
- FinPro Features
- FINRA Gateway Reports
- System Tools (e.g., E-Bill)
Note: This in-person training session is intended for compliance and registration staff with current entitlement to FINRA Gateway. If you are not currently a firm user with entitlement to FINRA Gateway, please contact FINRA so we can better assess your specific training needs.
THESE ARE ALL OF THE REMAINING DATES FOR 2023. ADDITIONAL DATES WILL BE PUBLISHED IN 2024.
|Sept. 19, 2023
8 a.m. to 5 p.m. ET
(See also Disclosure Reporting Boot Camp held Sept. 20-21)
|New York, NY||
|Oct. 17, 2023
8 a.m. to 5 p.m. ET
(See also Disclosure Reporting Boot Camp held Oct. 18-19)
(*Each attendee must complete a separate registration and pay the per person registration fee. Individuals who have not paid the registration fee and received a confirmation email will not be able to attend.)
Sessions are subject to cancellation based on the number of participants. We will notify registrants of session cancellations at least 30 days prior to session start dates. Registration fees will be refunded upon FINRA cancellation of a session.
If a registrant wishes to cancel, the following cancellation policy will be followed.
Notification of Cancellation:
• 30+ days prior to the start date of the training session = 100% full refund of the registration fee
• 14 to 30 days prior to the start date of the training session = full refund of the registration fee, less a $100.00 cancellation fee
• Fewer than 14 days = no refund
Travel Disclaimer: FINRA suggests that you do not purchase restricted or nonrefundable tickets for travel to the training, especially prior to receipt of your registration confirmation. FINRA assumes no liability for penalties or fare increases should the training sell out or in the unlikely event that changes to the training dates and/or location become necessary.
Please contact FINRA with any questions about available training programs.