IARD

FINRA Gateway

FINRA, the operator of the IARDTM system, is developing FINRA Gateway, a new platform that will consolidate the compliance work currently performed across multiple FINRA-administered systems. Functionality will be introduced gradually in the new system, and FINRA plans to ease the transition whenever possible by maintaining both the old and new versions of a filing or tool for a period of time. During this transition to the new platform, resources and information relevant to IA firms will be collected on this page as they become available.

Learn more on the page below about IA access to FINRA Gateway, including timelines and features.

On This Page:

 

Announcements

Jan. 24, 2022 – Form BR Now Available in FINRA Gateway. Branch registration forms are now available in the FINRA Gateway. Leveraging the modern data collection interface, users can create an Initial Form BR from the firm profile and amend or close specific branches from the related Branch Profile. The Classic CRD experience will be available until May 1, 2022. Watch a recording of a webinar held in December 2021 to learn about key features of the enhanced filing process.

Mar. 17, 2021 – Form U4 Retires in Classic CRD and Available Exclusively in FINRA Gateway Starting April 5. Form U5 Comes to FINRA Gateway May 17.

The deadline to submit Form U4 in Classic CRD is April 4, 2021. A read-only version will be made available through May 15 for any pending drafts that were not submitted on or before April 4. Firms are encouraged to submit Form U4 drafts in Web CRD, or recreate them in FINRA Gateway, before the April 5 retirement deadline. See the Registration Filing in FINRA Gateway page for more details. All other features in Classic CRD will remain available.

Form U5 comes to FINRA Gateway May 17, 2021. Firms are encouraged to begin using the FINRA Gateway U5 filing experience and to provide feedback. Form U5 filing functionality in Classic CRD will retire no earlier than Aug, 21, 2021.

Aug. 23, 2021 – Form U5 and Other Classic CRD Features Retired Aug. 21, 2021

The following Classic CRD features retired Aug. 21:

  • View Individual
  • View Organization (Broker-Dealer)
  • Branch Composite View
  • Individual Search
  • Branch Search (also known as Organization Search)
  • Form U5 Filing Capabilities
  • Several Classic CRD Reports

All other current Classic CRD functionality continues to be supported. Form U5 drafts not submitted before Aug. 21, 2021 have been invalidated.

Retirement dates for other Classic CRD functionality will be announced as they become available. See the CRD Is Moving to FINRA Gateway page for more details.

* Dates and details are subject to change.

Jan. 24, 2022: Form BR available in FINRA Gateway. View a recording of the webinar held in December 2021 to learn about key features of the enhanced filing process.

Accessing FINRA Gateway

IA firms entitled with access to other FINRA-administered systems (for example, IARD, Classic CRD, E-Bill) are now able to log in to FINRA Gateway with their credentials. Quick links are available in FINRA Gateway to the "Classic" IARD and CRD systems to support navigation between these platforms during this transitional period.

Certain features, such as Reports and Firm Settings, are currently only available to broker-dealers. More information will be provided when available about access to these and other features.

Current Features

Although IA firms are welcome (and encouraged!) to take the tour of the new FINRA Gateway, the platform does not yet fully support the full needs of the investment adviser community. Developments will be announced as information becomes available; see the Upcoming Features section for more details about future releases.

Form U4

Form U4 is available in FINRA Gateway. Tours, step-by-step navigation instructions, and a searchable help menu are available in FINRA Gateway to help users acclimate to the new platform. Form U4 functionality in Classic CRD retired on April 5, 2021. See the Form U4 page for more information.

Form U5

Form U5 is now available in FINRA Gateway. Classic CRD Form U5 filing functionality retired Aug. 21, 2021. See the Form U5 page for more details.

Form BR

Form BR is now available in FINRA Gateway. Classic CRD Form BR filing will be available at least April 15, 2022. See the Form BR page for more details.

Profiles

Firm, branch and individual records are available in the FINRA Gateway Profiles feature. Although some firm information is currently available for investment adviser firms, the Firm Profiles feature is still under development. More information will be provided as it becomes available.

Reports

IA firms are now able to access FINRA Gateway Reports. This feature will become the central location for data reported through FINRA-administered systems. See the FINRA Gateway Reports page for more information.

Requests

Requests is a work management tool that consolidates the tasks that firms have historically performed in multiple systems within one central location. Certain Classic CRD queues, pending draft filings and other items are currently available.

Support

In addition to phone and email, users can submit and track tickets to FINRA through the Support feature. The FINRA Support Team fields questions related to accounting, system entitlement, navigation, system usage and filing issues. See the Contact Us page for more support information pertaining to investment advisers.

Upcoming Features

The features below either don't fully support, or aren't currently available to, investment adviser firms — yet. Please feel free to log in, take the tour and send feedback. Details will be provided when additional IA functionality becomes available.

Check back for more information.

System Resources

More information about FINRA Gateway is available on the pages below.  However, please note that some features and details may not yet apply to investment adviser firms.

FAQ

1. Is my firm required to take any action (for example, re-submit form filings or request access to FINRA Gateway) during this transition to FINRA Gateway?

No action is required at this time. Filings do not need to be resubmitted, and existing user accounts do not need to be updated to access FINRA Gateway. Existing entitlement privileges are used to administer access to FINRA Gateway features. Firms will still be required to entitle new system users.

This page, and all other communications about FINRA Gateway, are intended to:

  • inform firms about changes to FINRA Gateway, and
  • support the transition from the "classic" systems (IARD, CRD, E-bill, etc.) to FINRA Gateway.

Firms are encouraged to familiarize themselves with features in FINRA Gateway by touring the system, taking advantage of in-system tutorials, and reading updates on this page.

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