Web CRD Quick Reference Guides

All Users

• Account Administration (PDF 747 KB)
   

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Firms

• Accounting (PDF 211 KB)
• Continuing Education (PDF 316 KB)
• CRD 'At A Glance' for Firms (PDF 247 KB)
• Form BR Filing (PDF 474 KB)
• Electronic Fingerprint Processing (EFP) (PDF 161 KB)
• Firm Notification (PDF 223 KB)
• Firm Queues for Individuals (PDF 190 KB)
• Firm Queues for Organizations (PDF 171 KB)
• Form U4 (PDF 495 KB)
• Form U5 (PDF 377 KB)
• IA Representative (RA) Transition (PDF 169 KB)
• Non-Registered Fingerprint (PDF 257 KB)
• Registration Deficiency Tracking Program (PDF 526 KB)
• View Individual (PDF 629 KB)
• Web CRD/IARD E-Pay (PDF 558 KB)

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Regulators

• Jurisdiction Queues for Individuals (PDF 400 KB)
• Jurisdiction/SRO Branch Registration (PDF 345 KB)
• Jurisdiction/SRO Branch Review Method (PDF 190 KB)
• Jurisdiction/SRO Queues for Organizations (PDF 353 KB)
• Regulator Form Filing (PDF 236 KB)
• SEC Queues for Organizations (PDF 424 KB)
• SRO Queues for Individuals (PDF 219 KB)

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If you are a "Joint" Broker/Dealer-Investment Adviser firm, there are also IARD System Quick Reference Guides available.