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.
- Web EFT
- Uniform Registration Forms
- Approved Changes to Forms U4 & U5
- Branch Office Registration
- Electronic Fingerprint Processing
- Simultaneous Form Filing Program
- Form U10 (non FINRA Candidates)
- Exam Information
- Broker Comment Request Form
Individuals who currently are not registered with FINRA, but who have been FINRA registered within the last two years, may submit a Broker Comment Request Form to provide an update or context to information that is disclosed through FINRA BrokerCheck.
Guidance
Look to this section for items with additional filing guidance or policy information:
- Forms U4 and U5 Interpretive Questions & Answers (PDF 66 KB)
- Duplicate Disclosure Interpretive Guidance
- Disclosure Inquiry Letter Tracking Program Frequently Asked Questions (FAQ)
- Snapshot Report Request Form and Guidance
- FINRA Rule 2080 (Formerly NASD Rule 2130) Frequently Asked Questions
- Late Disclosure Fee Frequently Asked Questions (FAQ)
- Social Security Number Verification Service
- View an important letter to member firms regarding a new program that evaluates NASD Rule 3070 reporting for the filing of required amendments to Forms U4 and/or U5 in CRD.
- Registration Comment Guidance and Form - This form is no longer accepted. Firms may amend the date of and reason for termination on Form U5 (version 5/2009) in Web CRD. For additional information, please see the approved changes to Forms U4 and U5 page.
- Active Military Leave Guidance
- 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) 590-6500.
