News & Updates

The FINRA API Platform now provides Submission API that enables third-party systems to submit filings and various other data to FINRA through a standardized submission interface. Initially, this Submission API offers two key use cases:

1.  Create Individual: This feature allows FINRA member firms to create an initial registration record for an individual, including the generation of a CRD Number. This is not required for U4 submission and is only needed if the individual does not possess a CRD Number.
2. U4: FINRA member firms can utilize this feature to transmit U4 filings to FINRA in either draft or submitted mode. Draft U4 can be updated and submitted for processing via FINRA Gateway UI. Additionally, firms now have the ability to enable Reps to edit U4 filings and provide e-signature within FINPRO. 

Both the Create Individual and U4 Submissions are also available in the QA Test Environment.  FINRA encourages firms to take advantage of this submission capability and invites any inquiries or requests for assistance as needed. This API integration aims to enhance the efficiency and convenience of interacting with FINRA's regulatory processes.