For the Public
FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
For Industry Professionals
Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
For Member Firms
Firm compliance professionals can access filings and requests, run reports and submit support tickets.
FINRA In-Person Disclosure Reporting Boot Camp includes two days of training on reporting disclosure events for registered individuals. This training is designed for compliance personnel at FINRA member firms who are new to submitting disclosure filings in FINRA Gateway or want to review best practices for reporting disclosable events.
The two days of in-person firm training offers comprehensive training on topics like determining reportability, submitting filings, and responding to FINRA disclosure letters.
In-Person Registration Systems Foundation includes a single day of training for firms on FINRA Gateway and related systems. This training is designed for compliance personnel who are new to registration and licensing or need to become more familiar with using FINRA Gateway and submitting Uniform Forms (U4, U5, BR).
The single day of in-person firm training offers practical instruction on how to navigate FINRA Gateway and complete basic tasks.
Rule Filing Status: Filed for Immediate Effectiveness