CRD Announcements

Visit this page on a regular basis for new or updated information regarding the Web CRD system and related programs and processes. Web CRD is generally available to all entitled users from 7:00 a.m.to 11:00 p.m., Eastern Time (ET), Monday through Friday (may be subject to change). Please refer to the Web CRD availability schedule for detailed weekend and holiday system availability.

 

  • Preliminary Renewal Statements became available in Web CRD on Monday, November 16, 2009. Please visit the Renewal Program Web page for detailed information on renewing firm registrations for 2010.

  • View an explanation of changes to Web CRD which were implemented with software release 2009.4 on November 2, 2009.

  • Form U4 amendment filings with responses to new regulatory action questions were due November 14, 2009. Please see the approved forms changes page for detailed information.

  • View an explanation of changes to Web CRD which were implemented with software release 2009.2 on May 18, 2009.

  • View Individual SSNs Entitlement

    On June 23, 2008, FINRA implemented an information security feature that restricts access to Social Security numbers (SSNs) through a specific entitlement in Web CRD® and IARD. Only those individuals who are entitled with the new privilege—"View Individual SSN"—are able to view SSNs in Web CRD/IARD. SSNs are masked with "Xs" for individuals who are not entitled with this new privilege.

    Important to Note:
      • All individuals, regardless of whether they are entitled with the new "View Individual SSN" privilege, are still able to search by SSN in Web CRD/IARD.
      • All Web CRD/IARD Account Administrators were automatically entitled with the new "View Individual SSN" privilege as of June 23, 2008.
      • Account Administrators must entitle those individuals in their organizations who require access to SSNs to perform their job responsibilities by setting the "View Individual SSN" privilege for them through the FINRA Entitlement Account Management Tool.
  • View the Webcast The U4 and U5 Filing Process  - part of the "What to Expect" series. Learn what FINRA expects of you and what to expect from FINRA when filing a Form U4 or Form U5. The webcast also provides background on the process for review and approval.

  • FINRA Entitlement Program
    View information about what a firm and/or an individual needs to do in order to become entitled to use the Web CRD System.

  • View CRD-related information and job aides developed for the small firm community.

  • View information about how interested firms can submit fingerprint information electronically.

  • Checklist for Organizational Change: Mergers, Acquisitions, and Successions  
    This checklist offers steps for firms to consider when interacting with FINRA during an organizational change, regarding issues such as membership application and system-related privileges.