Webinar Series: Registration System Changes

As FINRA's industry technology developments continue, the systems and work processes used by firms—and industry professionals—to manage registration-related information are also changing. Join us during this webinar series as we discuss topics related to the following areas:

Session-specific webinar details will be provided on the topic pages below as dates are announced. For email notifications about related events and updates, please sign up for the Registration and Testing Information subscription list.


Upcoming Webinars

Check back here for future webinars and dates.


Previous Webinars

CE Transformation: Annual CE System Tools

During this webinar, FINRA staff reviews tools available in FINRA Gateway to assist firms in tracking annual regulatory element compliance.

View the recording and the presentation slides from the July 2023 session.

CE Transformation: January 2023 System Enhancements

During this webinar, FINRA staff demos changes to FINRA Gateway and FinPro in support of CE Transformation.

View the recording and the presentation slides from the December 2022 session.

CE Transformation: The Maintaining Qualifications Program (MQP) Explained

During this webinar, FINRA staff reviews rule changes detailed in Regulatory Notice 21-41 and explains the MQP.

View the recording and the presentation slides from the February 2022 session.

CE Transformation: Upcoming Changes to Annual Regulatory Element and Firm Element Requirements

During this webinar, FINRA staff reviews rule changes detailed in Regulatory Notice 21-41 and discusses the impacts to member firms and registered representatives.

View the recording and the presentation slides from the September 2022 session.

Disclosure Letters in FINRA Gateway

During this webinar, FINRA staff demos the enhanced letter process and discusses the feature’s transition timeline from Classic CRD to FINRA Gateway. 

View the recording and the presentation slides from the April 2021 session.

Enhanced BR Online Filing Experience

During this webinar, FINRA discusses enhancements to Form BR filings in FINRA Gateway scheduled for January 2022.

View the recording and the presentation slides from the December 2021 session.

Enhanced U4 Online Filing Experience

During this webinar, FINRA discusses recently-deployed enhancements to Form U4 filings in FINRA Gateway. In addition to answering user questions, staff highlights tools and provides updates.

View the recording and the presentation slides from the February 2021 session.

 

Enhanced U5 Filing Process

This webinar previews the enhanced U5 filing process deployed in FINRA Gateway on May 17, 2021. Learn about key features and other U5 milestones.

View the recording and the presentation slides from the April 2021 session.

 

Introduction to the Financial Industry Networking Directory (FIND) & Transitioning to FinPro

This webinar provides insight on how firms can use FinPro to support onboarding practices, including how to transition recruits from the Financial Industry Networking Database (FIND) to the platform. 

View the recording and the presentation slides from the June 2020 session.

 

Leveraging FinPro for Streamlined Compliance

During this webinar, FINRA staff demo supporting FinPro and FINRA Gateway functionality.

View the recording and the presentation slides from the October 2021 session.

Moving From CRD to the New FINRA Gateway

This webinar demonstrates the transition from CRD to FINRA Gateway using real work scenarios. 

View the recording and the presentation slides from the June 2020 session.