FINRA’s Financial Professional Gateway (FinPro) provides individuals (current or former representatives) direct access to resources and tools to manage their securities registration information.
Information about upcoming features and changes will be provided here as it becomes available.
CE 201 Available on New Platform – Adobe Flash not Required (June 15, 2020)
Individuals who access CE 201 via FinPro on or after June 15, 2020, will interact with a new CE platform that removes the need to have Adobe Flash installed.
CE 101 Available on New Platform – Adobe Flash not Required (October 5, 2020)
Individuals who access CE 101 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 in FinPro – CE Online Retired (November 8, 2020)
The current CE Online System will remain available through November 8. Beginning November 9, all CE must be completed on the new platform, which will be exclusively available from FinPro.
Enhanced online filing experience released in FinPro (October 5, 2020)
FinPro users who are granted “allow rep edits” access to a draft U4 filing by the filing firm will experience modern data entry screens, reorganized questions, and enhanced validations – but the Form U4 content will remain the same. These updates are designed to reduce filing errors and rework.
All “Allow Rep Edits” Collaboration Performed in FinPro – Web CRD Registered Representative Site Retired (October 5, 2020)
FinPro will be the only platform where reps can collaborate on a draft Form U4 filing initiated by a firm. FinPro users will not require a reference number or other information to retrieve a draft filing, and firms will be able to further customize the control they delegate to a FinPro user when entering information into the draft form filing.
FinPro Will Begin to Support Representatives Without a US Social Security Number (SSN) (June 18, 2020)
Individuals who have an individual CRD number but do not have a US SSN will be able to create an account and use FinPro starting June 18, 2020.