CRD Quick Reference Guides
See How We Are Integrating CRD Into the New FINRA Gateway
FINRA is working on a new FINRA Gateway system that will be intuitive, flexible and efficient to make it easier for firms and their associated persons to fulfill their compliance obligations.
Firms
- CRD At A Glance For Firms
- Firm Notification
- Firm Queues for Individuals
- Firm Queues for Organizations
- Form BD
- Form BR
- Form CRS (BD-Only Firms)
- Form NRF
- Form U4
- Form U5
- LEP Request
- Reports
- View Individual
- View Organization
Regulators
- Regulator E-Bill User Guide (Video)
- Regulator Form U6 Filing
- Regulator Notifications
- SRO Web CRD Basics (Video)
All Users
If you are a joint broker-dealer/investment adviser (BD/IA) firm, there are also IARD System Quick Reference Guides available.