October 21 – 23: 2019 National Society of Compliance Professionals (NSCP) Conference (Baltimore, MD)
NSCP attendees will have the opportunity to stop by the FINRA table to learn more about technology, testing and continuing education initiatives. FINRA representatives will share how the Financial Professional Gateway (FinPro) and the new CRD system are changing the way users complete their compliance tasks. Additionally, visitors can discuss and learn more about the enhancements that are being considered in transforming the Securities Industry Continuing Education Program as well as plans for principal-level exam restructuring and current Securities Industry Essentials (SIE) exam academic outreach efforts.
October 2019: CRD & DXT Roundtables (Multiple Locations)
Members of FINRA’s Registration and Disclosure (RAD) and Technology teams are holding small roundtables this October to continue discussing the new CRD, FinPro, Form U4 data collection, and FINRA’s Digital Experience Transformation (DXT).
Roundtables are scheduled at the following locations:
- October 2: Minneapolis, Minnesota
- October 3: St. Louis, Missouri
- October 16: Los Angeles, California
Please contact us if you have interest in joining us at any the upcoming roundtable locations. If you would like to receive notifications about future events and other updates, subscribe to the FINRA Registration and Licensing email list.
September 2019: Registration and Disclosure (RAD) Training Sessions (Rockville, MD)
RAD Training held the following sessions this fall:
- Foundations of CRD Training• September 23 - 24, 2019 • Rockville, MD
This training is designed for broker-dealer (BD) firms or joint BD/investment adviser firms and will cover both classic CRD and new CRD functionality, registration and disclosure hot topics, plus an overview of IARD.
- FINRA Registration and Disclosure Boot Camp • September 25- 26, 2019 • Rockville, MD
This training is designed for those who are new to reporting disclosure information in CRD or those who want to receive refresher training and reporting tips.
Learn more about future offerings on the CRD Training and Support page.
September 15 – 18, 2019: 2019 SILA National Education Conference (San Diego, CA)
FINRA presented at the 2019 Securities & Insurance Licensing Association’s (SILA) National Education Conference.
July 29, 2019: CRD & DXT Roundtable (Chicago, IL)
Members of FINRA’s Registration and Disclosure (RAD) and Technology teams held a small roundtable at the Chicago FINRA office location on Monroe Street to discuss the following topics:
Subscribe to the FINRA Registration and Licensing email list if you would like to receive notifications about future events.
June Virtual Roundtables – Data Collection/U4 (Remote)
- Monday, June 17, 2019, 4 – 5 p.m., Eastern Time (ET)
- Monday, June 24, 2019, 11 a.m. – 12 p.m., ET
FINRA is arranging a series of virtual roundtables about new CRD, Financial Professional Gateway (FinPro) and Digital Experience Transformation (DXT). The highly interactive roundtables are focused on industry needs and challenges – and the features that FINRA can develop to resolve them – with small diverse groups of firm participants.
Every roundtable will facilitate discussion on a pre-determined topic. June sessions addressed how CRD collects information for the Form U4.
Open webinars on this topic will also be held. If you would like to receive notifications about future roundtables, please subscribe to our Registration and Licensing email.
June 6 – 7, 2019: Foundations of CRD Training (Chicago, IL)
Foundations training is designed for broker-dealer (BD) firms or joint BD/investment adviser firms and will cover both classic CRD and new CRD functionality, registration and disclosure hot topics, plus an overview of IARD. Learn more about this and other training offerings on the CRD Training and Support page.
May 15 – 17, 2019: 2019 FINRA Annual Conference (Washington, DC)
FINRA held a panel discussion about the new CRD system and the Financial Professional Gateway (FinPro). Attendees were also able to demo and discuss the new systems with FINRA staff at their exhibit booth.
Registration is now open for the 2020 Annual Conference in Washington, DC, on May 12 – 14. Reduced rates are available for the first 100 in-person registrants before October 4, 2019.
April 2019: FINRA’s Registration Systems are Migrating to the Cloud
Cloud-based technology is an essential component of our ongoing transformation effort, and FINRA moved data in April to its new “cloud” platform during three consecutive weekends. Please visit our availability schedule for the complete listing of dates and hours of these planned outages.
March 27, 2019 • 1 p.m. – 2 p.m., Eastern Time (ET): New CRD Overview (Webinar)
FINRA’s Registration and Disclosure (RAD) Training team conducted a one-hour virtual overview of the new CRD system designed to familiarize users with the latest functionality. Registration is now closed. Similar future events will be advertised on this page as they are scheduled.
March 7 – 8, 2019: Foundations of CRD Training (Jacksonville, FL)
FINRA’s Registration and Disclosure (RAD) Training team offered a two-day course right after the 2019 ARM Annual Educational Conference. Foundations training offers practical, hands-on training for both classic and new CRD functionality, as well as a discussion of RAD hot topics and an overview of IARD. Learn more about future training opportunities on the CRD Training & Support page.
March 5, 2019: CRD Transformation: Enhancing the Registration & Disclosure Process (Podcast)
Listen to Derek Linden, FINRA’s executive vice president of Registration & Disclosure (RAD) discuss the CRD Transformation during episode 29 of FINRA Unscripted.
March 4 – 6, 2019: 2019 ARM Annual Educational Conference (Amelia Island, FL)
Management from FINRA’s Registration and Disclosure, and Technology Departments covered the following topics at the Association of Registration Management’s (ARM) annual conference:
- CRD’s evolution with a new view of individual representative data,
- the start of our transformation of branch processing and management,
- an expansion of the Financial Professional Gateway (FinPro), and
- the introduction of ways to support automation and leverage information via a brand new reporting capability.
Combined ARM Presentation
to learn more