FINRA Virtual Registration Systems Foundation

FINRA’s Registration Systems Foundation is designed for compliance personnel who are brand new to registration and licensing or who are not regular users of FINRA Gateway. This training offers practical instruction on how to navigate FINRA Gateway and complete basic registration-related tasks.

The registration fee is $200 per person and the format of the training is live system demonstration via Zoom webinar. Early registration is encouraged as space is limited.

Session Topics

• Tour of FINRA Gateway
• Onboarding
• Data Collection (U4/U5/BR)
• FINRA Gateway Reports
• FinPro Gateway™ Overview
• Intro to Disclosure Reporting
• Resources

Note: This virtual 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

PLEASE CHECK BACK LATER IN THE YEAR FOR ADDITIONAL 2026 SESSIONS.

(*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

Please contact FINRA with any questions about available training programs.