Dec
10
2025
News

Introducing Draft Registration Filing Notifications

We are pleased to announce a new event type in the FINRA API Platform Notification API: Draft Registration Filing (draftRegistrationFiling), currently available in QAINT only. 

What's New? 

This event type provides real-time notifications related to draft registration filings for the following events: 

  • An individual representative completes U4 sections in the FINPRO system
  • An individual representative provides an e-signature in the FINPRO system

These notifications are useful for collaborating with an individual representative in the FINPRO system. Once your firm receives these notifications, you can submit the U4 either via API or manually through FINRA Gateway.

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