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Be in the Know

Transforming CRD and the New FINRA Gateway Experience


FINRA is redirecting it efforts from building the new CRD system to instead integrate its registration filing functionality into the new FINRA Gateway. The feedback that we received from the industry while working on the new CRD, as well as the features that were created for the new system, are now informing the development of the streamlined and cohesive user experience within the new platform.

New CRD users will be contacted for a phased rollout to FINRA Gateway over the course of summer 2020, and the deployment of registration functionality will be incremental over time, so users should expect to use both classic CRD and FINRA Gateway until the integration is complete.

Learn more about the transition timeline from the new CRD to FINRA Gateway, as well as the resources available to prepare and support new CRD users through the transition. For email notifications about similar updates and events, sign up for the Registration and Licensing Information subscription list through the button below.

On This Page


Transition From the New CRD to FINRA Gateway


New CRD users will transition to FINRA Gateway over the course of this summer. In May, the new CRD system will begin prompting users upon login to tour the FINRA Gateway. Users will decide at the end of the tour to either migrate to the new FINRA Gateway platform or return to the new CRD. Those who choose to begin using FINRA Gateway will still be able to access new CRD features via Quick Links.

Individuals who choose to not transition to FINRA Gateway will return to new CRD. They will receive prompts periodically to move to FINRA Gateway during future logins to new CRD. Users who decline to transition several times will eventually be required to use FINRA Gateway.

Beginning June 30, 2020, users will no longer have access to the new CRD. Users will be automatically redirected to FINRA Gateway upon login to new CRD, and access to the new CRD system via Quick Links will be removed from FINRA Gateway.

Visit the FINRA Gateway page for more information.

After the Transition: Performing Registration Work Through FINRA Gateway

FINRA Gateway will continue to interact with classic CRD features while under development to ensure that full functionality remains available to manage industry registration compliance needs. Functionality that previously lived in the classic CRD system will be retired as it becomes available in FINRA Gateway. The first classic CRD feature scheduled for retirement is the Form U4. When the enhanced Form U4 online filing experience is launched in FINRA Gateway, filing a Form U4 through classic CRD will no longer be available.


About New CRD: Historic Information About System Features and Access


System Features

The new CRD features were designed to interact with classic CRD so users could experience the benefits of the developing system while still having the combined functionality of both systems to complete their work. FINRA Gateway users can continue to access the new CRD system functionality via Quick Links until new CRD is retired. See the New CRD User Guide for detailed information about system features.

Access: New CRD Entitlements

Users were systematically entitled to features as they became available in the new CRD system. Entitlements were granted to FINRA-member broker-dealer firms according to the classic CRD entitlements they held at the time a new CRD feature was launched. For historic information about the creation and systematic entitlement of new CRD privileges, see the New CRD Entitlement page.

The new CRD entitlements will be used to manage access to similar FINRA Gateway features during the platform’s deployment. More information will be made available shortly on the FINRA Gateway page.


Events


While developing the new CRD system, events related to registration systems and the CRD Program were listed on this page to encourage participation across the industry in the conversations FINRA was holding about technology developments. You can stay informed about future events through the following channels:

  • Consult the CRD Program page. We will continue to communicate about registration-related events attended by FINRA staff.
  • Sign up for the Registration and Licensing Information list. Subscribers receive emails every few weeks about upcoming events and updates related to the registration, qualification exams and continuing education programs administered by FINRA.
  • Attend a webinar. FINRA offers webinars on a range of topics, and registration for upcoming FINRA Systems webinars sessions, as well as the resources from previous dates, are available through their dedicated pages. The Registration System Changes webinar series discusses the effects of ongoing technology developments on registration compliance. Topics addressed in this series include FinPro, the enhanced U4 online filing experience, and workflows transitioning from the CRD system to FINRA Gateway.
  • Check the Compliance Calendar for events. Events organized by FINRA, including webinars and conferences, are listed on the Compliance Calendar.