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 a.m. to 11 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.

 

• 2012 ARM Annual Educational Conference
  Management from FINRA's Registration and Disclosure department presented at the Association of Registration Management's annual conference, which was held January 23-25, 2012, in Sarasota, Florida. View the FINRA panel presentation.
   
• Operations Professional Registration Category – Revised Implementation Schedule for Non-Day-One Professionals:
  FINRA has revised the implementation schedule for certain individuals who are required to register as Operations Professionals. Individuals required to register as an Operations Professional between Oct. 18 – Dec. 16, 2011, must request Operations Professional (OS) registration via Form U4 in Web CRD and will have until April 14, 2012, to pass the Series 99 examination (or other eligible registration examination), during which time they may function as Operations Professionals. Individuals required to register on or after Dec. 17, 2011, will have 120 days beginning on the date that the individual requests an OS registration via Form U4 in Web CRD to pass the Series 99 (or other eligible registration examination). During this 120-day period, they may function as Operations Professionals. Further information is available in the Operations Professional FAQ and FINRA’s rule filing with the SEC.
  
  Please Note: These changes do not affect the 12-month transition period for Day-One Operations Professionals (i.e., individuals who were required to register as an Operations Professional as of Oct. 17, 2011) described in Regulatory Notice 11-33.
   
• 2012 Renewal Program
  The 2012 CRD Renewal Program Bulletin is now available on the FINRA Renewal Program page, along with the 2012 Renewal Program Calendar, Renewal Program Checklist  and other helpful information. The FINRA Renewal Program facilitates the annual renewal of broker-dealer firms’ and their registered representatives’ FINRA, state/jurisdiction and self-regulatory organization (SRO) registrations. Final Renewal Statements will be available beginning January 3, 2012. If your firm’s Final Renewal Statement reflects an amount due, full payment must post to your firm's Renewal Account with FINRA by Friday, February 3, 2012.
   
• Annual FINRA Entitlement User Accounts Certification
  FINRA launched an annual user accounts certification process as part of the FINRA Entitlement Program. During the 30-day certification period, Super Account Administrators (SAAs) for organizations with more than one user must certify that their users are properly entitled to the applications in the FINRA Entitlement Program and the sensitive data these applications may contain. The deadline for certification was Friday, December 9, 2011. Refer to the FINRA Entitlement Program – Super Account Administrator page and the FINRA Entitlement User Accounts Certification Process FAQs for details.
   

• Changes to Cancellation and Reschedule Fees
  Individuals who reschedule or cancel a securities industry qualification examination or Regulatory Element Continuing Education session three to 10 business days prior to their scheduled appointment are subject to new cancellation and reschedule fees. See FINRA's cancellation policy page and Regulatory Notice 11-36 for details.
   
• 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.