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