FINRA Gateway Frequently Asked Questions

Will I be able to log in to FINRA Gateway with my existing Firm Gateway credentials? 

Yes, Firm Gateway users will be able to log in to FINRA Gateway using their existing Firm Gateway credentials.

Can I customize my experience in FINRA Gateway? 

Yes. As of April 7, 2020, you can:

  • customize lists of registered individuals, branches, and related action items using the Reports feature, which was designed to allow users to customize the view and output of FINRA data; and
  • customize lists of outstanding compliance and registration tasks through the Requests feature, which enables you to sort and filter through types of tasks to create focused lists, such as “Exam Requests,” “FOCUS Filings” or “Disclosure Reviews.” 

FINRA plans to add additional customizations for the Dashboard feature, as well as more data types in the Reports feature later in 2020.  

Will the process to add new users or entitlements remain the same? 

Currently, the process will remain the same for a Super Account Administrator (SAA) and Account Administrators (AA) to add new users and entitlements through a link on the User Account Settings page. Based on feedback, FINRA is considering how to streamline the experience for requesting and receiving access for users, SAA and AAs in the future.

Will I still need a separate set of system credentials for each broker-dealer I support? 

Yes, you will continue to use the same credentials for each broker-dealer you support. FINRA has designed FINRA Gateway so that in the future, we can address this issue and allow users to toggle between accounts with one set of system credentials. FINRA anticipates enabling this functionality in 2021.

Can I respond to a request or update a form from the FINRA Requests section in FINRA Gateway? 

Yes. In the FINRA Requests section, once you click on the link to access a request or form you can complete your task. The majority of the links in the FINRA Requests feature will appear in a “pop-up” box in FINRA Gateway. 

What browsers does FINRA Gateway support?

As of April 4, 2020, FINRA Gateway is no longer supported in Internet Explorer. Access devices running end-of-life operating systems will be blocked from accessing FINRA applications effective April 30, 2022. After that date, you will not be able to access FINRA applications with the affected system until you upgrade to a supported version of the operating system. Please consult your IT provider for more information related to end-of-life operating systems.

Please contact the FINRA Support Center if you have questions or concerns about this implementation.

  • Broker-dealer Firms, Funding Portals – (800) 321-6273
  • Investment Advisers Firms, Exempt Reporting Advisors – (240) 386-4848

The new system works well with the latest versions of Chrome, Firefox, Safari and Edge.

Supported Operating Systems

  • Windows 10 Version 2004 or newer
  • Mac OS X 10.15 or newer

Read more about this on our Upgrade Your Browser page.

Will I still be able to access ‘Classic’ FINRA applications I use today?

Yes! FINRA Gateway is being implemented in stages, so some functionality may not be migrated over yet. You can use quick links to go to the ‘Classic’ FINRA applications and features you are accustomed to using.

Just look for this Quick Links icon on the bottom left side of your screen.

Who should I contact if I need help navigating FINRA Gateway?

For system issues or technical support questions, users may contact the FINRA Support Center by phone at (301) 590-6500 or by creating an online support ticket through the FINRA Gateway system.

For any other questions, including questions about future systems or functions, contact us by email.