Finra Gateway. Learn how to access and use the IARD and Web CRD systems fo

Learn how to access and use the IARD and Web CRD systems for investment adviser registration and compliance. Find out about FINRA Gateway, a new platform that will consolidate multiple FinPro Gateway provides financial professionals access to FINRA systems and resources for registration, education, and compliance. JavaScript required JavaScript is required. FINRA’s Financial Professional Gateway (FinPro Gateway™) provides financial professionals access to resources and tools to manage their Learn more about the new features and join us for an introduction to FINRA Gateway, the new FINRA reporting and compliance user experience. Table of Contents The compliance date of the amended version of Form PF in FINRA Gateway has been postponed and is no longer October 1, 2025. The SEC and the CFTC extended the compliance date to Now accessible through FINRA Gateway, FINRA Gateway Reports continues to grow the data sets available for on demand, ad hoc reporting. FINRA Gateway is a platform for managing compliance and reporting tasks efficiently with customizable features and secure access. See the new terminology, features, FINRA Gateway offers access to FINRA applications and services, including tutorials and quick reference materials for compliance professionals. This User Guide provides an overview of this Review Your IAR CE Status Access FinPro Gateway You can review your IAR CE status and CE history in your Financial Professional Gateway (FinPro GatewayTM) account. To find out if your web browser supports FINRA Gateway Reports—previously referred to as Dynamic Reporting—helps firm staff answer common questions and make 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 Learn how to access and use the new FINRA Account Management System, which replaces the current system and integrates with FINRA Gateway portal. On August 1st, 2021, if your firm has completed the 2021 FINRA Entitlement User Accounts Certification or if you are a newly onboarded firm, then If an administrator logs into FINRA Can I customize my experience in FINRA Gateway? Yes, you can:customize lists of registered individuals, branches, and related action items using the FINRA Gateway offers access to FINRA applications and services, including tutorials and quick reference materials for compliance professionals. To ensure a fair, balanced, inclusive market where everyone can invest with confidence, we require individuals and firms who wish to conduct business with the investing public to achieve . Instructions to FinPro Gateway provides financial professionals access to FINRA systems and resources for registration, education, and compliance. You can contact Finra - Gateway Call Center by phone using number (301) 590-6500. 16 Do off-shore subsidiaries of FINRA members have to submit trade reports to TRACE? The TRACE reporting obligations apply only to FINRA member firms. If the bond is FINRA assesses and collects regulatory fees that fund FINRA’s regulatory activities, including the Gross Income Assessment (GIA), Personnel 6 FINRA Gateway Demo By 9/15 FINRA Gateway will become the Front Door for all FINRA Member Firms By 9/15 users logging in to Firm Gateway on behalf of FINRA Member Broker Users will be prompted to “opt in” to FINRA Gateway At logon to Firm Gateway, firms selected for onboarding will be prompted to “opt in” to FINRA Gateway with a choice to continue to Classic The FINRA Entitlement Program provides a secure way to access participating Web-based systems with a shared entitlement service. This web browser does not support JavaScript or JavaScript in this web browser is not enabled. Each webinar includes FINRA does not endorse any specific security key vendor or model and recommends that organizations perform adequate testing to ensure that the device they intend to use is 3. 1. By logging into your account, you agree to the Terms of Use FINRA’s regulatory and contractual obligations require us to meet certain security standards to safeguard data and systems from being exposed to security vulnerabilities. For this reason, Questions about E-Bill? Call the FINRA Support Center at (301) 590-6500 or submit a support request in FINRA Gateway. FINRA Gateway provides updates on system status, including resolved issues and scheduled maintenance for compliance and reporting platforms. Lauren Huber is the primary contact at Finra - Gateway Call Center.

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