Be in the Know

As FINRA transforms CRD, visit this page often to stay up-to-date on all topics and events related to the new CRD system. Learn more below about new and upcoming CRD features, how to access them, and related upcoming events.

Your Feedback in Action

FINRA released improvements to the Individual section of new CRD, thanks to your input. Users will now see new indicators, a “Disciplined Firm” tooltip, and far less white space – to name a few of the upgrades – as of June 30.

For more details, see the “Current Features” tab on the page below.


See What Firms Are Saying

Would you like to see some of the feedback FINRA has received from firms? Take a look at the feedback compiled from outreach sessions we held in conjunction with the 2019 ARM Educational Conference.


Help Design the New CRD

Your input matters! Take a few minutes to test design components. Your responses will inform the new CRD system.


Don’t forget to become a subscriber if you want us to send you emails about new CRD, and please be sure to send us feedback about your new CRD experience. We want to hear from you.

Be in the Know (CRD)

Upcoming Events

July 29, 2019: CRD & DXT Roundtable (Chicago, IL)

Members of FINRA’s Registration and Disclosure (RAD) and Technology teams will hold a small roundtable discussion at the Chicago FINRA office location on Monroe Street. Please send an email if you would like to participate in person at this roundtable.

Participants will discuss the following topics:


September 15 – 18, 2019: 2019 SILA National Education Conference  (San Diego, CA)

FINRA is committed to attend and present at Securities & Insurance Licensing Association’s (SILA) National Education Conference this fall. We will update this page with more details when available.


September 2019: Registration and Disclosure (RAD) Training Sessions (Rockville, MD)

Save the Date! Registration for Fall RAD Training sessions will open shortly:

  • Foundations of CRD Training • September 23 - 24, 2019 • Rockville, MD
    This training is designed for broker-dealer (BD) firms or joint BD/investment adviser firms and will cover both classic CRD and new CRD functionality, registration and disclosure hot topics, plus an overview of IARD. Cost $500.
  • FINRA Registration and Disclosure Boot Camp • September 25- 26, 2019 • Rockville, MD
    This training is designed for those who are new to reporting disclosure information in CRD or those who want to receive refresher training and reporting tips. Cost $600
  • Buy One, Get One Half Off: Foundations of CRD Training and FINRA Registration and Disclosure Boot Camp• September 23- 26, 2019 • Rockville, MD
    This deal allows you to attend both trainings listed above (Foundations of CRD and FINRA Registration and Disclosure Boot Camp training) for a reduced price. Cost $800

More information will be posted when available.


Previous Events

June Virtual Roundtables – Data Collection/U4 (Remote)

  • Monday, June 17, 2019, 4 – 5 p.m., Eastern Time (ET)
  • Monday, June 24, 2019, 11 a.m. – 12 p.m., ET

FINRA is arranging a series of virtual roundtables about new CRD, Financial Professional Gateway (FinPro) and Digital Experience Transformation (DXT). The highly interactive roundtables are focused on industry needs and challenges – and the features that FINRA can develop to resolve them – with small diverse groups of firm participants.

Every roundtable will facilitate discussion on a pre-determined topic. June sessions addressed how CRD collects information for the Form U4.

Open webinars on this topic will also be held. If you would like to receive notifications about future roundtables, please subscribe to our Registration and Licensing email.


June 6 – 7, 2019: Foundations of CRD Training (Chicago, IL)
Foundations training is designed for broker-dealer (BD) firms or joint BD/investment adviser firms and will cover both classic CRD and new CRD functionality, registration and disclosure hot topics, plus an overview of IARD. Learn more about this and other training offerings on the CRD Training and Support page.


May 15 – 17, 2019: 2019 FINRA Annual Conference (Washington, DC)
FINRA held a panel discussion about the new CRD system and the Financial Professional Gateway (FinPro). Attendees were also able to demo and discuss the new systems with FINRA staff at their exhibit booth.

Registration is now open for the 2020 Annual Conference in Washington, DC, on May 12 – 14. Reduced rates are available for the first 100 in-person registrants before October 4, 2019.


April 2019: FINRA’s Registration Systems are Migrating to the Cloud
Cloud-based technology is an essential component of our ongoing transformation effort, and FINRA moved data in April to its new “cloud” platform during three consecutive weekends. Please visit our availability schedule for the complete listing of dates and hours of these planned outages.


March 27, 2019 • 1 p.m. – 2 p.m., Eastern Time (ET): New CRD Overview (Webinar)
FINRA’s Registration and Disclosure (RAD) Training team conducted a one-hour virtual overview of the new CRD system designed to familiarize users with the latest functionality. Registration is now closed. Similar future events will be advertised on this page as they are scheduled.


March 7 – 8, 2019: Foundations of CRD Training  (Jacksonville, FL)
FINRA’s Registration and Disclosure (RAD) Training team offered a two-day course right after the 2019 ARM Annual Educational Conference. Foundations training offers practical, hands-on training for both classic and new CRD functionality, as well as a discussion of RAD hot topics and an overview of IARD. Learn more about future training opportunities on the CRD Training & Support page.


March 5, 2019: CRD Transformation: Enhancing the Registration & Disclosure Process (Podcast)
Listen to Derek Linden, FINRA’s executive vice president of Registration & Disclosure (RAD) discuss the CRD Transformation during episode 29 of FINRA Unscripted.


March 4 – 6, 2019: 2019 ARM Annual Educational Conference (Amelia Island, FL)
Management from FINRA’s Registration and Disclosure, and Technology Departments covered the following topics at the Association of Registration Management’s (ARM) annual conference:

  • CRD’s evolution with a new view of individual representative data,
  • the start of our transformation of branch processing and management,
  • an expansion of the Financial Professional Gateway (FinPro), and
  • the introduction of ways to support automation and leverage information via a brand new reporting capability.

See the combined ARM presentation to learn more


As FINRA transforms CRD, new CRD features will be released incrementally to organizations that currently use Web CRD (now referred to as “classic CRD”). These new features will be added alongside classic CRD, allowing entitled users to experience the benefits of the new system while still having the combined full functionality of both systems to complete their work. We will update this page as enhancements become available. See the New CRD Reference Guide for detailed information and navigational support for the features described below.

Keep in mind that during this development phase, new CRD features interact with classic CRD. If users do not have the necessary classic CRD privileges for an activity or link they select in the new CRD system, an Access Denied message will display. Learn more on the New CRD Entitlement page.

Query and View Associated Individuals

New CRD will soon become a one-stop shop for viewing and querying your associated individuals’ information. Some of the features currently available include the following:

  • Disclosure information,
  • FinPro status information (FinPro account creation as well as last access date),
  • New icons indicating previous relationship with a disciplined firm, and
  • A link to the Individual Snapshot Report pdf in classic CRD

See the New CRD Reference Guide for more information.

June 2019 Updates

FINRA recently made changes to the Individual section based on your feedback. The following items were included with this release:

  • The Summary section now displays the following:
    • age,
    • residential state(s), and
    • a disciplined firm tooltip (if applicable);
  • Information in the Employment History and Exam History sections is presented in a simpler format;
  • A home state indicator will be added next to an individual’s home state registration(s) in the Registration section;

and the entire section has been redesigned to provide information in a more space-effective way.

Check back in September for additional upgrades.

Systematic Entitlement

Access to querying and viewing individual information is governed by “My CRD,” the parent privilege for the new CRD system. All new CRD users and administrators will have access to this new feature.

On January 26, 2018, classic CRD users and administrators whose accounts were entitled with “View Individual Information” privileges were systematically entitled with the “My CRD” parent privilege for the new CRD system.

Activities Lists

Filter and save personalized views of individual, firm and branch activity items in order to monitor recent and upcoming status changes and requirements.

Quick Links

Select and order your favorite system features into a convenient list on the new CRD system home page. Links may point to the relevant functionality in classic CRD, E-Bill, and other FINRA-administered systems.

My Reports

Elevate the CRD reports you use to the new CRD home page. 

Note: All screenshots on this page are provided for illustrative purposes and subject to change.

Future Updates

Learn more about new CRD features that are under development in the section below.

Query and View Branch Information

Firms will be able to query and view branch information later this year. We are incorporating firm feedback as we develop this feature; please contact us if you have any suggestions. This new functionality will include:

  • Branch activity information,
  • Customizable information about related branches and staff, and
  • The ability to export information directly from a branch profile.

Data Exploration (Reporting)

Customizable reporting capabilities will appear throughout the new CRD system later this year. This will be a significant upgrade to the static reports in classic CRD, and it will enable users to engage with data in ways that suit their needs best. Users will be able to create tailored reports by performing the actions below:

  • Grouping, filtering and sorting the selected data categories;
  • Saving their customizations or using a starter template; and
  • Exporting the data for further analysis and combining with information not maintained by FINRA.

 

 

As FINRA transforms CRD, new CRD features will be released incrementally to organizations that currently use Web CRD (now referred to as “classic CRD”). A new family of privileges called “My CRD” will control this new CRD functionality, and FINRA will communicate in the future if additional systematic entitlements are planned.

New CRD features will be added alongside classic CRD, allowing entitled users to experience the benefits of the new system while still having the combined full functionality of both systems to complete their work. Keep in mind that during this development phase, new CRD features interact with classic CRD. If users do not have the necessary classic CRD privileges for an activity or link they select in the new CRD system, an Access Denied message will display.

We will update this page as enhancements are made to CRD that affect entitlements for firms and individuals.

Questions? Send us an email or call (301) 869-6699.

Available Entitlements

(Currently limited to broker-dealer firms)

The following application privileges are available for the new CRD features in the FINRA Entitlement Program:

  • My CRD (the parent privilege for the new CRD system),
  • Activities
  • Reports

New CRD Entitlements

Administrators can find the My CRD family of privileges at the bottom of the current application entitlement list in the Account Management system.

Learn more below about each entitlement privilege and their corresponding system features. See the New CRD Reference Guide for more information about the new CRD system.

My CRD

Users must have the overarching “My CRD” parent privilege to login to the new CRD system. This permission also allows users to:

  • customize the Quick Links feature,
  • query and view individual information, and
  • view the firm’s information.

Activities

The new CRD re-imagines classic CRD queues as consolidated, customizable task lists called Activities. The Activities entitlement grants user access to all three activities categories (individual, branch and firm).

Reports

This entitlement privilege manages access to the new CRD My Reports widget, which allows users to select and order links for their preferred CRD reports.

Systematic Entitlement 

FINRA is systematically permissioning broker-dealer firm users and administrators with access to new CRD features upon their release. Users who possess privileges to the corresponding classic CRD features are granted entitlements to the new CRD functionality. Entitled SAAs and CRD administrators can grant or remove access as appropriate for their users; please see the FINRA Entitlement Reference Guide for complete instructions about managing account access.

Parameters for future systematic entitlements are detailed on the “Upcoming Features” tab. Learn more about the systematic entitlement parameters used during past system releases  below.

January 26, 2019 Release - Query and View Associated Individuals

Access to querying and viewing individual information is governed by “My CRD,” the parent privilege for the new CRD system. All new CRD users and administrators will have access to this new feature.

On January 26, 2018, classic CRD users and administrators whose accounts were entitled with “View Individual Information” privileges were systematically entitled with the “My CRD” parent privilege for the new CRD system.

New CRD Entitlement Highlights

June 30, 2018 Release

Users and administrators who possess entitlements for both Organization and Individual classic CRD “Firm Queues” privileges highlighted in the screenshot below were systematically entitled on June 30 to the following new CRD privileges:

  • My CRD
  • Activities
  • Reports

New CRD Entitlement Highlights