FILING ONLINE

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

February 16, 2020 — Important: Form U4 Filing & Changes to CRD/IARD
Currently, your firm submits its registration form filings (e.g., Forms U4, U5, ADV) using the CRD and IARD systems, which are operated by FINRA. FINRA Gateway is a new system that FINRA is developing to streamline compliance work by firms and will eventually support all registration functionalities currently used by investment advisers through the CRD and IARD systems. Your firm's IARD and CRD entitled users can now access FINRA Gateway from those systems. Form U4 is the first registration filing functionality available in FINRA Gateway. Classic CRD Form U4 filing functionality will be retired April 5, 2021. Additional information can be found on the Registration Filing in FINRA Gateway or Form U4 page.

March 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 Web 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. 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 August 21, 2021.

Timeline*

Q4 2020 & Q1 2021 Q2 & Q3 2021 Q4 2021 & Beyond
October 31: Initial and amendment Form U4 filing functionality available in FINRA Gateway

November 21: Additional Form U4 filing types available in FINRA Gateway

January 23: Feature parity between U4 filings in FINRA Gateway and Classic CRD

April 5: Form U4 Retires in Classic CRD

May 15: Read-only versions no longer available for invalidated draft U4s in Classic CRD

May 17: Form U5 available in FINRA Gateway

August 21: Form U5 retires in Classic CRD

Check back for more information.

* Dates and details are subject to change.

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 and the older, "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

FINRA encourages IA firms to begin using FINRA Gateway to draft and submit Form U4 filings. Tours, step-by-step navigation instructions, and a searchable help menu are available in FINRA Gateway to help users acclimate to the new platform. See the Form U4 page for more information.

Form U4 functionality in Classic CRD will be retired on April 5, 2021. Pending drafts that are not submitted on or before April 4 will be made available in a read-only format through May 15.

Requests

Requests is a growing work management tool that consolidates the tasks that firms have historically performed in multiple systems within one central location. Certain 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 the IARD Call Center through the Support feature. The IARD Call Center fields questions related to accounting, system entitlement, navigation, and usage and filing. 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.

Form U5

Form U5 will become available May 17 in FINRA Gateway. The ability to draft and submit Form U5 in Classic CRD will retire no earlier than August 21, 2021. See the Registration Filing in FINRA Gateway page for more details.

Profiles

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

Reports

FINRA Gateway Reports will be the central location for data reported through FINRA-administered systems; however, the feature is currently only available to broker-dealer firms. An announcement will be published when this feature is made available to investment adviser firms.

System Resources

More information about FINRA Gateway is available on the pages below; however, please be aware 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 in order 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 the developing system, and
  • support the transition from the "classic" systems (IARD, Web CRD, E-bill, etc.) to the new, central platform.

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.