Sep
1
2026
News
Introducing the FINPRO Tasks Dataset
We're excited to announce the FINPRO Tasks dataset, which enables firm users to automatically retrieve all FINPRO tasks and alerts for their registered representatives.
The dataset supports only synchronous GET calls and returns all active tasks for a given individual.
Tasks related to the following categories for an individual are included:
- Disclosure Letter Task
- Exam Schedule Task
- U4 Filing Task
- E-Signature Task
- Attestation Task
- Annual Regulatory Element CE (BDCE)
- Firm Assigned CE Task
- IAR CE Task
- Qualification Exam Waiver CE
Use Cases:
Here are some suggested use cases you could add:
- Automate monitoring of outstanding compliance tasks for registered representatives
- Integrate FINPRO task data into internal compliance dashboards or workflows
- Proactively identify and manage upcoming exam schedules
- Streamline disclosure letter and U4 filing tracking across large rep populations
- Support audit and supervisory review processes by surfacing active tasks in real time
Getting Started:
The dataset is now available for use. For detailed documentation — including available parameters, response headers, implementation guidelines, and examples, see here.