Financial Professional Gateway – Firm Resources

Transforming the Securities Industry CE Program

FINRA has adopted important changes to its continuing education (CE) and registration rules to train registered persons more effectively while accommodating registered persons whose personal circumstances take them away from the industry for a time.

LEARN MORE ABOUT CHANGES TO THE SECURITIES INDUSTRY CE PROGRAM


FinPro is part of FINRA’s efforts to streamline communication between industry stakeholders and reduce the registration compliance burden for firms. As we develop this system, FINRA is also creating materials to help firms incorporate FinPro features into their registration compliance programs. Learn more on the page below about the onboarding, training and support resources that are available to firms.

Does your firm need assistance with rolling out FinPro to your reps? We can help. Please contact us for more information.


On This Page

Firm Tools

Firms can manage access and monitor FinPro use through FINRA Gateway. This platform offers a significant amount of in-system support, but information about FinPro-related features is available below:

Allow Rep Edits (Form U4): Firms can enable the Allow Rep Edits feature in FINRA Gateway so that individuals can work simultaneously on U4 filings through FinPro. The Allow Rep Edits feature was improved for firms and individuals alike as part of the Form U4 enhancements. The Enhanced Form U4 Filing Experience Summary of Changes and Form U4 in FinPro pages explain how to enable and use Allow Rep Edits in FINRA Gateway and FinPro.

Note: FinPro users are no longer able to type their names in the signature fields with the Allow Rep Edits feature. Firms must now enable the E-Signature feature to grant FinPro users access to the signature page. See the Firm Settings Guide for more information.

FINRA Gateway Reports: There are several FinPro-related data points available in FINRA Gateway, and new data sets, report templates and feature enhancements are regularly added thanks to feedback from firm users. See the FINRA Gateway Reports page for more information, including instructions for use cases.

Apply Regulatory Element CE to IAR CE Requirements: Effective June 30, Regulatory Element CE can be applied to satisfy up to six hours of IAR CE. Firms can manage this process in Firm Settings, or dually-registered individuals can make the request in FinPro. 

Firm Settings: Within the Accounts section of FINRA Gateway, users can manage access to, as well as customize, certain FinPro features with the Firm Settings feature. The following features are currently available:

  • Attestation,
  • Application of Regulatory Element CE to Investment Adviser Representative (IAR) CE Requirements,
  • System-Generated Regulatory Element CE Email Notifications, and
  • E-Signature (Form U4).

Additional enhancements are under development.

LEARN MORE IN THE FIRM SETTINGS GUIDE

Training

The FinPro Support team has produced several webinars about FinPro and related topics. These recordings include demonstrations of system functionality and discussions about upcoming enhancements:

Onboarding Support

FINRA has developed the materials below to help firms communicate with associated individuals about FinPro: