Manage Your Securities Registration Info
FINRA’s Financial Professional Gateway (FinPro) provides individuals (current or former representatives) direct access to resources and tools to manage their securities registration information.
On This Page
FinPro users must create account credentials (user id, password and security challenge questions) as well as verify their identity with Transunion to access the system. (Tip: See the FinPro Account Creation Guide for guidance if you have not yet created a FinPro account.)
FinPro cannot be accessed with Internet Explorer. Use a supported browser to log in.
First-Time FinPro Users
Before creating an account: Have you self-enrolled in an exam or used one of these FINRA systems? If so, you can use the same system credentials to log in to FinPro.
Can’t remember your user id or password? Recover them via email.
Returning FinPro Users
If you have logged in to FinPro before, sign in or quickly retrieve your credentials through the buttons below.
Note: You may need to create a new FinPro account if more than three years have passed since your last login. FinPro credentials are automatically deleted after 36 months of inactivity.
Securities professionals can perform the following tasks in FinPro:
- View your CRD record
- Update your residential address (if not currently registered)
- Notify your firm when you have reviewed your CRD record, and confirm whether or not updates are needed (firm must enable Attestation feature)
Qualification Exams and Continuing Education (CE)
- Schedule an exam
- Enroll in the Maintaining Qualifications Program (MQP) and the North American Securities Administrators Association (NASAA)’s Exam Validity Extension Program (EVEP) (if eligible)
- Take your Regulatory Element CE session
- Apply your Regulatory Element CE session towards the Products and Practice component of the Investment Adviser Representative (IAR) CE requirements
- Receive email reminders about your regulatory element CE requirement (firm must enable CE Notification feature)
- Review and download the last Form U5 filed on your record
- Enter information and electronically sign Form U4 (firm must enable Allow Rep Edits and/or E-Signature features)
- Receive email notifications when a new Form U5 is filed
We are using your feedback to develop more features. New features will be announced on this page as they are released.
August 2023: Enrollment for the Exam Validity Extension Program for Broker-Dealer Agents Available Aug. 28
Effective Aug. 28, eligible individuals can enroll in NASAA’s Exam Validity Extension Program (EVEP) for Broker-Dealer Agents (AG) via FinPro. The program allows eligible individuals to maintain their Series 63 — Uniform Securities Agent State Law Exam for up to five years in states that adopt the model rules by completing CE annually. States will select to participate in the EVEP program by adopting the NASAA model rule. Individuals should consider the risk that a state(s) with which they wish to register in the future may not honor the EVEP qualification, in which case the individual may be required to pass a qualification examination to obtain registration despite participation in the EVEP. Detailed enrollment instructions are available in FinPro. Visit NASAA’s EVEP page for more information about the model rules, participating jurisdictions and FAQs. Enrollment for NASAA’s EVEP for investment adviser representatives (IAR) is expected to become available at a later date. Please check back for more details.
December 2022: Annual Regulatory Element CE Supported in FinPro Jan. 1
Effective Jan. 1, 2023, registered individuals will be required to complete CE Regulatory Element annually by Dec. 31. Additionally, CE participants will receive content tailored specifically to each representative or principal registration category that they hold. Individuals who fail to complete their Regulatory Element within the prescribed annual deadline of Dec. 31 will be automatically designated as CE inactive by FINRA. Registered individuals can continue to use FinPro to access and complete their CE requirements.
To maintain their RA registration in states that have adopted the IAR CE model rule, each investment adviser representative (IAR) will need to attain 12 CE credits* each year — six credits of Products and Practice and six credits of Ethics and Professional Responsibility. IARs who complete the securities industry Regulatory Element course may apply it towards the Products and Practice component of the IAR CE requirements.
There are two options to apply Regulatory Element CE to fulfill IAR CE:
- Individuals can pay and report through FinPro.
- FINRA member firms can also opt in to pay and apply the Regulatory Element to the IAR CE Product and Practices requirement through a feature in FINRA Gateway. See the Firm Settings Guide for more information.
The fee is $18 ($3 per credit hour times six credits). Payments are non-refundable.
Regulatory Element Completed in a Previous Year
Firms and IARs should also be aware how to apply Regulatory Element CE that was completed in a previous year, especially for IARs who are joining a new firm. Read on for more information.
- Individuals can apply prior Regulatory Element CE completed in a previous year to satisfy the IAR CE requirement for that same year. For example, in February 2023, an individual will be able to apply Regulatory Element completed in 2022 to their 2022 IAR CE requirement.
- IARs and firms should assess if the individual’s Regulatory Element CE for previous years has been applied to IAR CE before submitting registration forms during onboarding. An individual may lose the ability to apply the prior year’s Regulatory Element to an outstanding IAR CE requirement — if the new firm has opted in to pay the IAR CE reporting fee. IARs should discuss this with the new firm and, if necessary, pay the application fee in FinPro before the firm files Form U4 requesting their registration.
- Completed IAR CE courses are applied to the oldest outstanding requirement. This means that if an individual applies their 2023 Regulatory Element CE to their IAR CE requirements, and their 2022 IAR CE Products and Practices requirement has not yet been satisfied, the 2023 Regulatory Element will be applied to satisfy the 2022 IAR CE requirement.
- Individuals cannot carry over excess IAR CE credits and apply them to future requirements. Therefore, Regulatory Element completed in a prior year cannot be used for a future year.
*A “credit” is a unit that has been designated by NASAA to be at least 50 minutes of educational instruction.
April 2022: Notifications Tracking Report Available April 5
Effective April 5, firms can use the Notifications Tracking Report in FINRA Gateway to monitor FinPro’s auto-generated Regulatory Element CE email notifications. The report includes many data points requested by firms, including email addresses, email subject, date sent, and the date an email was opened.
January 2022: MQP Enrollment Available Jan. 31
Effective Jan. 31, eligible individuals will be able to enroll in the new Maintaining Qualifications Program (MQP) via FinPro. Detailed enrollment instructions will be made available in FinPro, and more information is on the Maintaining Qualifications Program (MQP) page.
Note for firms: Firms are not required to facilitate or otherwise support the MQP Program, but registration compliance staff should be aware that FINRA is communicating via email and postcard with individuals who may be eligible.
September 2021: Optional CE Notifications and Form U4 E-Signature Feature Available in FinPro
Effective Sept. 25, firms can now enable two new optional features in FINRA Gateway’s Firm Settings. Registered securities professionals with FinPro accounts can now receive auto-generated email reminders about their regulatory element CE requirement as well as electronically sign their Form U4 filings.
See the following pages to learn more:
Note: FinPro users are no longer able to type their names in the signature fields with the Allow Rep Edits feature. Firms must now enable the E-Signature feature to grant FinPro users access to the signature page. See the Form U4 page for more information.
December 2020: Form U4 Collaboration Exclusively in FinPro April 2021
Effective April 2021, Form U4 collaboration through the Allow Rep Edits feature will be performed exclusively in FinPro. The Anonymous CRD Registered Representative site will be retired in tandem with Form U4 filing functionality in Classic CRD.
November 2020: Continuing Education (CE) Platform Exclusively in FinPro
All Regulatory Element CE sessions for registered representatives are conducted exclusively via FinPro as of Nov. 9. See the CE in FinPro page for additional information.