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FINRA Registration Systems Foundation Virtual Training Schedule & How to Register

Due to COVID-19, FINRA is currently not scheduling any onsite trainings. Please refer to the CRD Training and Support page to learn more about remote training opportunities, and join the Registration and Testing Information subscription list if you would like to receive email notifications about similar events and updates.

FINRA Registration Systems Foundation (Fee $200): includes two half-days of virtual training 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). This training can also be beneficial to those who want to receive refresher training and registration tips. Space is limited, please register early.

Session Topics

  • Overview of FINRA Gateway
  • Maintaining Firm and Branch Information
  • Individual Registration and Onboarding
  • Creating Custom Reports
  • Using E-Bill
  • FinPro Best Practices
  • Features Still in Classic CRD

Note: This training session is intended for compliance and registration staff with current entitlement to FINRA Gateway. If you are not currently associated with a firm or otherwise entitled to FINRA Gateway, please contact FINRA so we can better assess your specific training needs.

Sessions

June 29 and 30, 2022
must provide valid CRD #
Sold Out
July 13 and 14, 2022
must provide valid CRD #
Sold Out
 


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
  • Less than 14 days = no refund

Please contact FINRA with any questions about available training programs.

COMPLETE THE FORM BELOW

FINRA members should complete the form below and click "Submit" to proceed.

SIGN-UP

Don't know your firm's CRD#? Look it up in BrokerCheck.

COMPLETE THE FORM BELOW

FINRA members should complete the form below and click "Submit" to proceed.

SIGN-UP

Don't know your firm's CRD#? Look it up in BrokerCheck.