Course Overview

Description: The FINRA Firm Gateway provides a single point of service that allows firms to quickly comply with rules, gather information, and interact with FINRA. This course provides written instruction for navigating the FINRA Firm Gateway, including 1) how to provide access to the XYPN Compliance Team to assist with compliance applications and filings and 2) how to complete important compliance tasks via the Firm Gateway. 

Learning Objectives/Outcomes: After taking this course, you’ll be able to: 

  1. Grant the XYPN Compliance Team access to the FINRA Firm Gateway in order to assist with compliance applications and filings. 
  2. Enable the E-Bill Tab on your FINRA Firm Gateway
  3. View your historical ADV Filings
  4. Complete and submit the SAA Entitlement Form within the FINRA Firm Gateway in order to begin the initial registration process


Intended Audience: Advisors who are new to using the FINRA Firm Gateway