Discovering New Efficiencies on the FINRA Gateway

Efficiency in compliance work isn’t just about saving time, it’s about making sure critical tasks don’t slip through the cracks. In NSCP’s recent Currents Live webinar, “Discover NEW Firm Efficiencies on the FINRA Gateway (IARD, CRD),” three compliance leaders walked through practical tools and shortcuts to help firms better navigate FINRA’s platform:

• Noah Egorin, Senior Director, Product Management, FINRA

• Lisa Paygane, Vice President and Director of Registration Services, Renaissance Regulatory Services

• Jennifer Szaro, CRCP, Chief Compliance Officer, XML Securities, LLC

The discussion centered on real-world ways firms can reduce friction in daily compliance operations, whether managing registrations, filings, or reporting.

Key Highlights

Customizable Dashboards Save Time
The FINRA Gateway dashboard can be tailored to individual roles, whether you need alerts, deficiencies, billing updates, or quick links to forms. Users can prioritize the most relevant widgets to make critical tasks visible at a glance.

Fast Account Switching Improves Workflow
For compliance professionals managing multiple firms or accounts, fast account switching eliminates repeated logins and password hassles. Firms can store up to 20 accounts per browser session, making it easier to move between broker-dealer and RIA entities.

Entitlements Are the Foundation
Without the right entitlements, even the most robust features won’t work. Panelists stressed the importance of SAAs reviewing entitlements regularly—especially as FINRA adds new features—so users can file, monitor, and access necessary tasks.

Regulatory Task Catalog Helps Find What Matters
The Regulatory Task Catalog consolidates tasks firms must initiate on their own, with direct links to rules, resources, and entitlement checks. It helps eliminate guesswork when navigating the system.

e-Bill Efficiencies Reduce Administrative Burden
Features like autopay, low-balance alerts, and quick-fund replenishment simplify financial management inside the Gateway—particularly useful during high-volume billing seasons.

Reporting: A Powerful but Underused Tool
The FINRA Gateway reporting system allows firms to move beyond static reports by customizing, saving, and sharing report configurations. The built-in data dictionary and training guides help compliance officers “learn to speak CRD” and build reports that reflect their specific needs.

Avoiding Read-Only Filing Pitfalls
Draft filings can become read-only if a record changes, creating frustration and duplicate work. Pro tips included preparing filings in one sitting when possible, running pre-registration checks, and using the “compare” function to see exactly what was updated before submitting.

Final Takeaway
From customizable dashboards to advanced reporting, the FINRA Gateway offers far more than just a filing portal. It can be a powerful tool for firm efficiency. But these efficiencies only come when compliance teams know how to use them.

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