Web CRD Quick Reference Guides
See How We Plan to Transform CRD
FINRA is working on a new CRD system that will be intuitive, flexible and efficient to make it easier for firms and their associated persons to fulfill their compliance obligations. Read more about what we have planned for CRD.
Firms
- 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 473 KB)
- Limited English Proficiency (LEP) Request (PDF 879 KB)
- Non-Registered Fingerprint (PDF 257 KB)
- Form BD (PDF 1,694 KB)
- Registration Deficiency Tracking Program (PDF 526 KB)
- Reports (PDF 551 KB)
- View Individual (PDF 629 KB)
- View Organization (PDF 2,038 KB)
Regulators
- NASAA Training Guide Web CRD & IARD Filing Process (PDF 1.7 MB)
- NASAA Training Guide Web CRD 101 (PDF 2.9 MB)
- NASAA Training Guide Web CRD 201 (PDF 1 MB)
- Jurisdiction Queues for Individuals (PDF 400 KB)
- Jurisdiction/SRO Branch Registration (PDF 345 KB)
- Jurisdiction/SRO Branch Withdrawal/Closing Review Method (PDF 190 KB)
- Jurisdiction/SRO Queues for Organizations (PDF 353 KB)
- Regulator Form U6 Filing (PDF 236 KB)
- Regulator Notifications (PDF 236 KB)
- SEC Queues for Organizations (PDF 424 KB)
- SRO Queues for Individuals (PDF 219 KB)
All Users
If you are a "Joint" Broker/Dealer-Investment Adviser firm, there are also IARD System Quick Reference Guides available.