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.

The Firm Gateway provides:

  • Consolidated access to regulatory applications and filings, and FINRA’s electronic billing system
  • One-click quick access to common tasks, useful resources and key firm information
  • An at-a-glance view of important filing dates, tasks and events
  • Centralized FINRA Information Requests

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.

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