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.
Register to attend an upcoming webinar which will introduce FINRA Gateway, the new FINRA reporting and compliance user experience, which will roll out over the coming months. The new system, powered by FINRA's Digital Experience Transformation (DXT) initiative, is designed to streamline the FINRA compliance and reporting experience by providing a more flexible solution that can be customized to hone in on your needs. These webinars will include a demonstration of the new platform, a discussion of the rollout plan for users, and provide time for Q&A.
FINRA Requests Comment on a Proposal to Implement the Recommendations of the CE Council Regarding Enhancements to the Continuing Education Program for Securities Industry Professionals
FINRA Gateway is designed to help you work more efficiently by streamlining your compliance functions. We are actively collecting feedback from member firms and continuing to enhance the Gateway experience with modern technology to better serve your needs. Stay tuned for potential webinars and additional resources as we expand Gateway's capabilities.