Registration

Any person associated with a member firm who is engaged in the securities business of the firm—including partners, officers, directors, branch managers, department supervisors, and salespersons—must register with FINRA.

 

Qualifications & Exams 

Information for Firms | Information for Brokers 

 

Central Registration Depository (CRD) 

Announcements | Web CRD/IARD E-Pay | Web EFT | Filing & Guidance | Fees & Accounting | Renewal Program | CRD Small Firm Resource | User Support | Publications | Directories 

 

Investment Adviser Registration Depository (IARD)