With a simple, single point of access through the dedicated Firm Gateway section of www.finra.org, the 5,000-plus Financial Industry Regulatory Authority (FINRA)-registered firms are now able to fulfill many of their filing obligations directly from their desktops. This includes the ability to submit nearly every electronic regulatory form through the web, such as those required when a broker joins or leaves a firm and branch-office registration forms. Compliance staff also can easily check the status of filings and receive alerts to key regulatory changes.
Mary Schapiro, CEO of FINRA, said: The FINRA Firm Gateway moves beyond utility. It is a powerful tool that makes the essential work of compliance easier and simpler for firms. It also demonstrates FINRA’s commitment to providing firms with the knowledge and tools to minimize regulatory risk for the benefit of investors and the marketplace.
