We Are Transforming CRD

REGISTRATION AND QUALIFICATION

We Are Transforming CRD

Updates & Upcoming Events


Materials from the SIE Exam and Exam Restructuring Calls

FINRA’s Registration and Disclosure Department held a series of conference calls to discuss the SIE Exam and Exam Restructuring initiative. The calls included an overview of the Securities Industry Essentials (SIE) Exam, the restructure of representative-level qualification exams , and the consolidation of registration rules that will become effective October 1, 2018.


Overview of FINRA's Financial Professional Gateway (FinPro)
July 26, 2018 • 3 p.m. – 4 p.m., Eastern Time (ET) (1 hour)
FINRA thanks the participants of this call and at their request, have posted the slides shared during the presentation, which included an overview of current and future features of FinPro.


New CRD Export Feature – Available July 28
On July 28, 2018, a new export feature will be implemented which allows users to download the data from the Activities list into a .CSV file. Once the data is exported, firms can use or manipulate the data as needed to support their compliance work processes.


New CRD Rollout to All Firms on June 30
On June 30, 2018, FINRA systematically entitled users and administrators who had access to all CRD Queues to the first set of new CRD features: Activities, Reports and Quick Links. Entitled administrators can now add and remove entitlements to the new CRD system as appropriate for users at their firm. FINRA will continue to build and deploy additional new CRD features alongside the existing CRD functionality, which we will refer to as “classic CRD.”


Entitlement


Learn about the new CRD Entitlement privileges and how to add or remove access.

CRD Reference Guide


Learn about the features available in the new CRD and how to use them.

Benefits of The New Platform


Efficient

Efficient:
The new system will allow you to get your compliance work done faster and more accurately

  • Consolidated tasks and activities to streamline your workflow
  • The ability to make changes to only the information that needs updating
  • Better manage bulk movement of individuals across firms and branches
Flexible

Flexible:
A user experience tailored to you

  • Better access to your data via customizable dashboards and self-service reporting
  • Enhanced notifications and alerts based on your interests
  • 24x7 availability that allows you to work when you want
Collaborative

Collaborative:
Better communication and coordination between Firms, Reps, and Regulators

  • Allow current and former reps to interact with their firm to share information via FinPro
  • Provide secure document exchange and electronic correspondence
  • One view into all registration-related interactions with FINRA
Easy

Easy:
A simpler and more streamlined experience with minimal or no training

  • Step-by-step guidance that makes it easy to complete filings with fewer errors
  • Faster data entry for advanced users
  • Visual cues and insights to important information that requires your attention
Integrated

Integrated:
Easier access to the data you need when you need it

  • Better integration between FINRA and your Firm's systems
  • Real-time access to FINRA data
  • Streamlined account access

CRD Transformation Concept