CRD Filing Guidance and Policy

The following links should be helpful when filing online for your firm and associated individuals:

CRD System and Related Links

Electronic Fingerprint Processing

• Electronic Fingerprint Submission (EFS)

Filing Guidance Related to Registration Forms

• Current Uniform Registration Forms for Electronic Filing in CRD (U4, U5, U6, BR, BD, and BDW)
• Investment Adviser Representative (RA) Form Filing Scenarios
• Protecting Personal Information in Registration Form Filings
• Branch Office Registration Information
• Active Military Leave Guidance
• Broker-Dealer Name Guidelines
  • Firm Name Reservation Request Form
• Social Security Number Verification Service
• Simultaneous Form Filing Program
• NYSE Information Memorandum 05-93: Change In NYSE Requirements for Amendments to Form U4
• Relationship Summary (Form CRS)
  • Form CRS (BD-only firms) Quick Reference Guide
  • Form CRS Instructions (SEC)
  • Small Entity Compliance Guide (SEC)
  • Regulation Best Interest, Form CRS and Related Interpretations (SEC Resources) 
  • Regulation Best Interest (Reg BI) (FINRA Resources)

Frequently Asked Questions (FAQ)

• CRD Public Records Validation Initiative
• Disclosure Inquiry Letter Tracking Frequently Asked Questions (FAQ)
• Duplicate Disclosure Interpretive Guidance
• FINRA Rule 2080 (Formerly NASD Rule 2130)
• FINRA Rule 4530 – CRD Form U4
• Forms U4 and U5 Interpretive Questions and Answers
• Late Disclosure Fee
• Relationship Summary/Form CRS (SEC)

Exam Information

• CRD System AG Qualification Requirements
• Exam Fee Schedule

Other Helpful Links

• State Regulators Directory (NASAA)

If broker-dealer firms have any questions or comments, please contact the FINRA Support Center at (301) 869-6699.