Financial Professional Gateway (FinPro)

Manage Your Securities Registration Info

FINRA’s Financial Professional Gateway (FinPro) provides individuals (current or former representatives) direct access to resources and tools to manage their securities registration information.

Second MQP Enrollment Period

Enrollment for the second Maintaining Qualifications Program (MQP) enrollment period closed on December 31, 2023. Individuals who enrolled in the MQP during the second MQP enrollment period must complete their prescribed 2022 and 2023 MQP learning plan by March 31, 2024.

Failure to complete the assigned learning by March 31, 2024 will result in removal from the MQP. Individuals removed from the MQP for failure to complete their assigned CE may then be required to requalify by exam to regain the terminated registration(s).

For more information, please review FINRA Information Notice 3/15/23.

Accessing FinPro

FinPro users must create account credentials (user id, password and security challenge questions) as well as verify their identity with Transunion to access the system. (Tip: See the FinPro Account Creation Guide for guidance if you have not yet created a FinPro account.)

FinPro cannot be accessed with Internet Explorer. Use a supported browser to log in.

First-Time FinPro Users

Before creating an account: Have you self-enrolled in an exam or used one of these FINRA systems? If so, you can use the same system credentials to log in to FinPro.

Can’t remember your user id or password? Recover them via email.

Create An Account

Returning FinPro Users

If you have logged in to FinPro before, sign in or quickly retrieve your credentials through the buttons below.

Note: You may need to create a new FinPro account if more than three years have passed since your last login. FinPro credentials are automatically deleted after 36 months of inactivity.

Forgot User ID or Password

FinPro Features

Securities professionals can perform the following tasks in FinPro:

CRD Record

View your CRD record
Update your residential address (if not currently registered)
Notify your firm when you have reviewed your CRD record, and confirm whether or not updates are needed (firm must enable Attestation feature)

Qualification Exams and Continuing Education (CE)

Schedule an exam
Enroll in the Maintaining Qualifications Program (MQP) and the North American Securities Administrators Association (NASAA)’s Exam Validity Extension Program (EVEP) (if eligible)
Take your Regulatory Element CE session
Apply your Regulatory Element CE session towards the Products and Practice component of the Investment Adviser Representative (IAR) CE requirements
Receive email reminders about your regulatory element CE requirement (firm must enable CE Notification feature)

Forms

Review and download the last Form U5 filed on your record
Enter information and electronically sign Form U4—if the firm has enabled the Allow Rep Edits and/or E-Signature features. See the Firm Settings Guide for more information.
Receive email notifications when a new Form U5 is filed

We are using your feedback to develop more features. New features will be announced on this page as they are released.

Announcements

October 2023: Enrollment for the Exam Validity Extension Program for Investment Adviser Representatives Available Oct. 30

Effective Oct. 30, eligible individuals can enroll in NASAA’s Exam Validity Extension Program (EVEP) for Investment Adviser Representatives (IAR) via FinPro. The program allows eligible individuals the opportunity to maintain their Series 65 — Uniform Investment Adviser Law Exam for up to five years in states that adopt the model rules by completing CE annually. States will select to participate in the EVEP by adopting the NASAA model rule. If an individual meets all eligibility requirements to join the EVEP, they can enroll even though their home state has not yet adopted the rule. If a jurisdiction subsequently adopts EVEP while enrolled in the EVEP, the jurisdiction will recognize the validity of the exam extension. However, if the jurisdiction does not participate in the EVEP at the time the individual reenters the industry, the exam extension will not be recognized in that jurisdiction. Individuals should consider the risk that a state(s) with which they wish to register in the future may not honor the EVEP qualification, in which case the individual may be required to pass a qualification examination to obtain registration despite participation in the EVEP. Detailed enrollment instructions are available in FinPro. Visit NASAA’s EVEP page for more information about the model rules, participating jurisdictions and FAQs.

August 2023: Enrollment for the Exam Validity Extension Program for Broker-Dealer Agents Available Aug. 28

Effective Aug. 28, eligible individuals can enroll in NASAA’s EVEP for Broker-Dealer Agents (AG) via FinPro. The program allows eligible individuals to maintain their Series 63 — Uniform Securities Agent State Law Exam for up to five years in states that adopt the model rules by completing CE annually. States will select to participate in the EVEP program by adopting the NASAA model rule. Individuals should consider the risk that a state(s) with which they wish to register in the future may not honor the EVEP qualification, in which case the individual may be required to pass a qualification examination to obtain registration despite participation in the EVEP. Detailed enrollment instructions are available in FinPro. Visit NASAA’s EVEP page for more information about the model rules, participating jurisdictions and FAQs.

December 2022: Annual Regulatory Element CE Supported in FinPro Jan. 1

Effective Jan. 1, 2023, registered individuals will be required to complete CE Regulatory Element annually by Dec. 31. Additionally, CE participants will receive content tailored specifically to each representative or principal registration category that they hold. Individuals who fail to complete their Regulatory Element within the prescribed annual deadline of Dec. 31 will be automatically designated as CE inactive by FINRA. Registered individuals can continue to use FinPro to access and complete their CE requirements.

LEARN MORE ABOUT CE SYSTEM CHANGES

June 2022: Regulatory Element CE Can Be Applied to IAR CE Requirements Starting June 30

To maintain their RA registration in states that have adopted the IAR CE model rule, each investment adviser representative (IAR) will need to attain 12 CE credits* each year — six credits of Products and Practice and six credits of Ethics and Professional Responsibility. IARs who complete the securities industry Regulatory Element course may apply it towards the Products and Practice component of the IAR CE requirements.
There are two options to apply Regulatory Element CE to fulfill IAR CE:

Individuals can pay and report through FinPro.
FINRA member firms can also opt in to pay and apply the Regulatory Element to the IAR CE Product and Practices requirement through a feature in FINRA Gateway. See the Firm Settings Guide for more information.

The fee is $18 ($3 per credit hour times six credits). Payments are non-refundable.

Regulatory Element Completed in a Previous Year

Firms and IARs should also be aware how to apply Regulatory Element CE that was completed in a previous year, especially for IARs who are joining a new firm. Read on for more information.

Individuals can apply prior Regulatory Element CE completed in a previous year to satisfy the IAR CE requirement for that same year. For example, in February 2023, an individual will be able to apply Regulatory Element completed in 2022 to their 2022 IAR CE requirement.
IARs and firms should assess if the individual’s Regulatory Element CE for previous years has been applied to IAR CE before submitting registration forms during onboarding. An individual may lose the ability to apply the prior year’s Regulatory Element to an outstanding IAR CE requirement — if the new firm has opted in to pay the IAR CE reporting fee. IARs should discuss this with the new firm and, if necessary, pay the application fee in FinPro before the firm files Form U4 requesting their registration.
Completed IAR CE courses are applied to the oldest outstanding requirement. This means that if an individual applies their 2023 Regulatory Element CE to their IAR CE requirements, and their 2022 IAR CE Products and Practices requirement has not yet been satisfied, the 2023 Regulatory Element will be applied to satisfy the 2022 IAR CE requirement.
Individuals cannot carry over excess IAR CE credits and apply them to future requirements. Therefore, Regulatory Element completed in a prior year cannot be used for a future year.

*A “credit” is a unit that has been designated by NASAA to be at least 50 minutes of educational instruction.

LEARN MORE ABOUT IAR CE

April 2022: Notifications Tracking Report Available April 5

Effective April 5, firms can use the Notifications Tracking Report in FINRA Gateway to monitor FinPro’s auto-generated Regulatory Element CE email notifications. The report includes many data points requested by firms, including email addresses, email subject, date sent, and the date an email was opened.

LEARN MORE IN THE FIRM SETTINGS GUIDE

January 2022: MQP Enrollment Available Jan. 31

Effective Jan. 31, eligible individuals will be able to enroll in the new Maintaining Qualifications Program (MQP) via FinPro. Detailed enrollment instructions will be made available in FinPro, and more information is on the Maintaining Qualifications Program (MQP) page.

Note for firms: Firms are not required to facilitate or otherwise support the MQP Program, but registration compliance staff should be aware that FINRA is communicating via email and postcard with individuals who may be eligible.