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CRD Is Moving to FINRA Gateway

This page is intended to serve as an at-a-glance resource to help broker-dealer firm users track the development of CRD program-related functionality in FINRA Gateway. Retirement dates for Classic CRD features will also be noted on this page as they are announced. Check back for updates and announcements throughout the transition from Classic CRD to FINRA Gateway.

On This Page

Timeline*

Q2 2021 Q3 2021 Q4 2021 & Beyond

April 5: Form U4 Retires in Classic CRD

May 1: Disclosure letters available in FINRA Gateway Requests 

May 15: Read-only versions no longer available for invalidated draft U4s in Classic CRD

May 17: Form U5 available in FINRA Gateway

August 21: Form U5 retires in Classic CRD Check back for more information.

* Dates and details are subject to change.


Announcements


See the Registration Filing in FINRA Gateway page for announcements related to registration forms submitted as part of the CRD program. Information about other registration compliance tools will be published here throughout the transition from Classic CRD to FINRA Gateway.


Classic CRD Features


We’ve highlighted the important information that you need to know about the work you perform with each Classic CRD feature in the section below. Not all features in Classic CRD will be recreated in FINRA Gateway.

Forms

  • Form U4: Form U4 is currently available in Classic CRD; however, the ability to draft and submit Form U4 in Classic CRD will retire on April 5, 2021. A read-only version of draft U4s in Classic CRD that are not submitted on or before April 4 will be made available through May 15. The Anonymous CRD Registered Representative site used to collaborate on Form U4 filings enabled with the Allow Rep Edits feature will also retire April 5, and Form U4 collaboration will be performed exclusively through FINRA Gateway and FinPro.

    The enhanced FINRA Gateway Form U4 filing experience is currently available. Firms are encouraged to use the FINRA Gateway Form U4 and provide feedback about the experience to FINRA.
     
  • Form U5: Form U5 is fully supported in Classic CRD and will retire no earlier than August 21, 2021.

    Form U5 will become available in FINRA Gateway starting May 17. Learn more in the FINRA Gateway Form U5 section of the page.

Retirement timelines for all other forms in Classic CRD have not yet been announced. Details will be provided on the pages below as they become available. See the Registration Filing in FINRA Gateway and CRD Registration Forms pages for more information.

Notifications

Email notifications are fully supported in Classic CRD. FINRA will announce a transition timeframe when one is determined for this feature. Email notifications are not yet available in FINRA Gateway.

Queues

Queues are still supported in Classic CRD. FINRA will announce a retirement timeframe when one is determined for this feature. Classic CRD queue information is provided through two features in FINRA Gateway:

  1. The FINRA Gateway Requests feature notifies firms when an action is required, and
  2. FINRA Gateway Reports allows firms to create custom reports with CRD Program data.

Detailed information is available in the CRD Queues to FINRA Gateway Guide and FINRA Webinars pages.

Reports

Reports are still supported in Classic CRD. FINRA will communicate a retirement timeframe when one is determined for this feature. Broker-dealers can now also use FINRA Gateway Reports to access customizable report templates with real-time CRD Program data. The tool offers more data, including FinPro information, than Classic CRD Reports.

View Individual

View Individual is still fully supported in Classic CRD. FINRA will communicate a retirement timeframe when one is determined for this feature.

The FINRA Gateway Profiles feature contains composite records for all individuals who have participated in the CRD program. Complete functionality is not yet available, but FINRA is regularly updating the developing features, thanks to early user feedback.

View Organization & Branch Office Information

View Organization, including branch office information, is still fully supported in Classic CRD. FINRA will communicate a retirement timeframe when one is determined for this feature.

Firm and branch information is available through the FINRA Gateway Profiles feature. Complete functionality is not yet available, but FINRA is regularly updating the developing features, thanks to early user feedback. There are links back to View Organization and View Branch information in the Classic CRD and IARD systems within the Profiles feature.


FINRA Gateway Features


The following tools are being developed in FINRA Gateway thanks to feedback from firms. More information will be provided as it becomes available. See the FINRA Gateway page for additional system details.

Firm Settings

This feature allows firms to manage access to particular FinPro features for their associated individuals. Attestation is the first tool available through the Firm Settings panel. More information, including a user guide, is available on the FinPro Firm Resources page .

Forms

The following registration forms are currently, or will shortly be, available in FINRA Gateway:

  • Form U4: Form U4 is available in both FINRA Gateway and Classic CRD, and the ability to draft and submit Form U4 in Classic CRD will retire on April 5, 2021. A read-only version of draft U4s in Classic CRD that are not submitted on or before April 4 will be made available through May 15.

    There are several changes in the FINRA Gateway Form U4 workflow: A draft filing is initiated from the Actions menu on the individual’s record in Profiles, pending filings can be retrieved through the FINRA Gateway Requests feature, and the Allow Rep Edits collaboration functionality is available exclusively through FinPro (Financial Professional Gateway). A system demonstration is available in the Enhanced U4 Online Filing Webinar recording.
     
  • Form U5: Form U5 will be available in both FINRA Gateway and Classic CRD starting May 17. The ability to draft and submit Form U5 in Classic CRD will retire no earlier than August 21, 2021.

See the Registration Filing in FINRA Gateway page for detailed information.

Profiles (Firm, Branch and Individual)

The FINRA Gateway Profiles feature expands upon the View Organization, View Branch and View Individual features in Classic CRD. The Firm Profile consolidates information from Classic CRD and Firm Gateway in one location, and firms can monitor FinPro usage from Individual Profile records. Additionally, users can initiate filings and other related activities from the Actions menu prominently located on each profile page.

Reports

FINRA Gateway Reports offers access to real-time data from CRD, FinPro and other FINRA-administered applications. Firms can use the standard templates or create, save and share custom views via email. Complete information, including real-world use cases, is available on the FINRA Gateway Reports page.

Requests

Requests is a growing work management tool that consolidates the tasks that firms have historically performed in multiple systems within one central location. Certain actionable CRD queues, pending draft filings and other items are currently available.

Support

In addition to phone and email, firms can now contact the FINRA Call Center by submitting tickets through the Support feature. Previously-created tickets can also be monitored for responses and updated through this feature.