Web CRD Quick Reference Guides
All Users
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
- 2016 NASAA Training Guide Web CRD 101 (PDF 1.5 MB)
- 2016 NASAA Training Guide Web CRD 201 (PDF 566 KB)
- 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)
If you are a "Joint" Broker/Dealer-Investment Adviser firm, there are also IARD System Quick Reference Guides available.