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To enable you to be employed in certain positions or participate in certain matters or opportunities in the securities industry in the United States, FINRA collects certain personal data from you for identity verification and regulatory purposes. Personal information may include your name, address, phone number, social security number ...

FINRA enables investors and firms to participate in the market with confidence by safeguarding its integrity. We deploy deep expertise, leading technology and extensive market intelligence to serve as the first line of oversight for the brokerage industry - all at no cost to taxpayers. We are a not ...

Firm Gateway is becoming FINRA Gateway in 2020! We are delighted to introduce FINRA Gateway, the new FINRA reporting and compliance user experience, which we will begin to roll-out in the coming months. The new system is designed to focus on compliance functions, such as research, reporting and responding to requests, rather than focusing on the specific system you would access to fulfill your ...

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. ... Login to FinPro.

The DR Portal has two parts: the DR Neutral Portal is for FINRA neutrals (arbitrators and mediators) serving on the Dispute Resolution roster, and the DR Party Portal is for arbitration and mediation case participants. FINRA encourages arbitrators and mediators to take advantage of the portal's ...

If you are experiencing any difficulties logging into the system, please contact your administrator for assistance. If you are a Super Account Administrator, contact the Gateway Call Center at 301-869-6699 for assistance.Do NOT bookmark this page or add it to your favorites. If you would like to create a bookmark or add this application to your favorites, please create the bookmark or add it ...

Issuers, ADR depositary banks and other parties that provide notice of company-related actions to FINRA under Rule 6490 must use a new electronic system to provide such notice to FINRA. FINRA no longer accepts paper copies of the Issuer and ADR Company-Related Action Notification Forms. FINRA ...

Web CRD is a secure registration and licensing system for entitled users only. Authorized users must complete and submit the appropriate forms to FINRA to be entitled to use Web CRD. For further information and instructions regarding Web CRD entitlement, visit the FINRA …