Financial Professional Gateway – Firm Resources
FinPro is part of FINRA’s efforts to streamline communication between industry stakeholders and reduce the registration compliance burden for firms. As we develop this system, FINRA is also creating materials to help firms incorporate FinPro features into their registration compliance programs. Learn more on the page below about the onboarding, training and support resources that are available to firms.
Does your firm need assistance with rolling out FinPro to your reps? We can help. Please contact us for more information.
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Firms can manage access and monitor FinPro use through FINRA Gateway. This platform offers a significant amount of in-system support, but information about FinPro-related features is available below:
Allow Rep Edits (Form U4): Effective April 5, 2021, collaboration via the Form U4 Allow Rep Edits feature will be performed exclusively in FINRA Gateway and FinPro. The ability to draft and submit Form U4 in Classic CRD and the Anonymous CRD Registered Representative site will be retired. Support resources are available within the FINRA Gateway system and on the Form U4 page.
FINRA Gateway Reports: There are several FinPro-related data points available in FINRA Gateway, and new data sets, report templates and feature enhancements are regularly added thanks to feedback from firm users. See the FINRA Gateway Reports page for more information, including instructions for use cases.
Firm Settings: The Accounts feature in FINRA Gateway will permit firms to manage access to, as well as customize, certain FinPro features within the Firm Settings section. Attestation is the first FinPro feature made available in Firm Settings, and additional enhancements are under development.
The FinPro Support team has produced several webinars about FinPro and related topics. These recordings include demonstrations of system functionality and discussions about upcoming enhancements:
- Enhanced U4 Filing Experience Webinar
- Introduction to the Financial Industry Networking Directory (FIND) & Transitioning to FinPro
- Leveraging FinPro for Streamlined Compliance Webinar
- FINRA Gateway Webinars
FINRA has developed the materials below to help firms communicate with associated individuals about FinPro:
- FinPro Email Templates (Updated July 2020)
- FinPro Account Registration Video Tutorial (Updated June 2020)
- FinPro Account Registration User Guide (Updated June 2020)