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.
On This Page
Firms can manage access and monitor FinPro use through FINRA Gateway. This new platform offers a significant amount of in-system support, but information about FinPro-related features is available below:
FINRA Gateway Reports: There are several FinPro-related data points that are now available in FINRA Gateway. Additional data will be released later in 2020. 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:
- Leveraging FinPro for Streamlined Compliance Webinars
- Enhanced U4 Filing Online Experience 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)
Questions or Suggestions? Contact Us.
We want to hear from you and FinPro users at your firm. Please send us your thoughts about how we can make FinPro more beneficial, simpler to use, or any other idea you may have. The FinPro Support team is also available 8 a.m. – 8 p.m. Eastern Time, Monday through Friday.