FINRA Registration Systems Foundation Virtual Training Schedule & How to Register

FINRA Registration Systems Foundation (Fee $200 per person): includes two half days (noon-5 p.m. ET) of virtual 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 navigating FINRA Gateway and submitting Uniform Forms (U4, U5, BR, BD). The format of the training will be live system demonstration via Zoom webinar. Space is limited, please register early.

Session Topics

• Overview of FINRA Gateway
• Firm and Individual Profiles
• Data Collection
• FINRA Gateway Reports
• Using E-Bill
• FinPro Features

Note: This 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.

Sessions

ADDITIONAL DATES WILL BE ADDED LATER IN 2023

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

Please contact FINRA with any questions about available training programs.