CRD Filing & Guidance 

Filing

The following links should be helpful when filing online for your firm and associated individuals:

 

• Web CRD System and Related Links
  • FINRA Entitlement Program 
    Information on the entitlement process, which facilitates user access to participating systems/applications on the FINRA Entitlement security platform, including Web CRD.
  • User Testing
  • Web EFT
  • Electronic Fingerprint Processing
    • Electronic Fingerprint Submission (EFS)
• Uniform Registration Forms
  • Current Uniform Registration Forms for Electronic Filing in Web CRD (U4, U5, U6, BR, BD, and BDW)
  • Approved Changes to Forms U4 & U5 (5/2009)
  • Branch Office Registration Information
  • Simultaneous Form Filing Program
• Exam Information
  • CRD System AG Qualification Requirements
  • Exam Fee Schedule
  • Form U10 (non-FINRA Candidates)
•  BrokerCheck
  • Broker Comment Request Form
  • BrokerCheck Dispute Process
• Other Forms
  • Broker-Dealer Firm Name Reservation Request Form (PDF 100 KB)
  • CRD Change of Address Form
  • Web CRD/IARD Snapshot Request Form and Guidance
  • New York Stock Exchange (NYSE)  and NYSE Amex Equities Membership Forms/Trading License Forms 

Guidance

Look to this section for items with additional filing guidance or policy information:

 

• Active Military Leave Guidance
• Social Security Number Verification Service
• Frequently Asked Questions (FAQ)
  • Disclosure Inquiry Letter Tracking Program (PDF 35 KB)
  • Duplicate Disclosure Interpretive Guidance
  • FINRA Rule 2080 (Formerly NASD Rule 2130)
  • FINRA Rule 4530 – CRD Form U4
  • Forms U4 and U5 Interpretive Questions & Answers (PDF 66 KB)
  • Late Disclosure Fee
• NYSE Information Memorandum 05-93: Change In NYSE Requirements for Amendments to Form U4

 

If member firms have any questions or comments, please contact the Gateway Call Center at (301) 869-6699.