FINRA In-Person Registration Systems Foundation

FINRA's Registration Systems Foundation 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). 

This training offers practical instruction on how to navigate FINRA Gateway and complete basic registration-related tasks. The format of the training will be live system demonstration in a conference room environment. Attendees are encouraged to bring their personal laptop and system credentials to follow along with the training. Breakfast and lunch are provided.

The registration fee is $300 per person and sessions are often offered in combination with the FINRA In-Person Disclosure Reporting Boot Camp (separate registration required). Early registration is encouraged as space is limited. 

Session Topics

• Tour of FINRA Gateway
• Viewing Profile Data
• Data Collection (U4/U5/BR)
• FinPro Features
• FINRA Gateway Reports
• Resources

Note: This in-person training session is intended for compliance and registration staff at FINRA member firms 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.

Sessions

THESE ARE THE REMAINING DATES FOR 2025. PLEASE CHECK BACK IN JANUARY FOR THE 2026 SCHEDULE.

(*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.)

Cancellation Policy

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.