FINRA’s Financial Professional Gateway (FinPro) provides individuals (current or former representatives) direct access to resources and tools to manage their securities registration information.
September 2021: Optional CE Notifications and Form U4 E-Signature Feature Available in FinPro
Effective September 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 November 9. See the announcements below and the New CE Platform in FinPro page for additional information.
October 2020: New Continuing Education (CE) Platform Available for S101 in FinPro
The current CE platform will retire November 8. Individuals who initiated the S101 via FinPro on or after October 5, 2020, will interact with a new CE platform that removes the need to have Adobe Flash installed. All Regulatory Element CE sessions begun on the retiring platform must be completed before November 9; otherwise, individuals must re-start on the new platform.
Firms can use the FINRA Gateway Reports feature to identify individuals at risk of having to re-start CE on the new platform. Complete instructions are available on the CE Report User Guide page.
September 2020: New FinPro Attestation Feature
New Attestation feature available in FinPro. Firms can now enable the new FinPro Attestation feature in FINRA Gateway. The Attestation feature allows enabled users to confirm directly through the platform whether or not their individual record requires updating.
In addition to controlling the Attestation feature, firms can retrieve attestation data through FINRA Gateway. See the FinPro Firm Resources page for more information.
July 2020: Firm Resources
Updated email templates are now available. The updated file includes a new message to communicate with individuals who are due to complete their Regulatory Element Continuing Education session. See the Onboarding Support section of the FinPro Firm Resources page for a complete list of materials designed to help firms support reps through the system onboarding process.
June 2020: New Continuing Education (CE) Platform Available for S201 in FinPro
The current CE platform will retire November 8. Individuals who initiated the S201 via FinPro on or after June 15, 2020, will interact with a new CE platform that removes the need to have Adobe Flash installed. This platform will become available in early October for the S101, and the former platform will be retired on November 8.