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Foundations of CRD Training Sessions

Foundations of CRD Session Registration Fee ($500*) - includes two days of training on classic CRD and the most up to date features in new CRD. The Foundations of CRD training is designed for broker-dealer firms or joint broker-dealer/investment adviser firms and should be beneficial to those who are new to registration and licensing, new to CRD and want an overview of IARD, or those who want to receive refresher training and registration tips. View the Schedule & How to Register information.

This class will cover both classic CRD and new CRD functionality, discussion on registration and disclosure hot topics, plus an overview of IARD. You will be directed to detailed and comprehensive CRD and investment adviser training materials.

Background on new CRD: CRD Transformation is a multi-year project that will reimagine the CRD system into a modernized platform that features a simpler and more streamlined experience for all users, providing firms with a more flexible and efficient way to get their compliance work done. Initially, the new version of CRD will be available alongside the existing CRD system (which is referred to as classic CRD) and new features will be deployed incrementally.

The two days of training offers practical, hands-on, and comprehensive training modules. Breakfast and lunch are provided. Space is limited so register early.

Note: This training session is intended for compliance/registration staff of broker-dealers, investment advisers or third party vendors with entitlement to CRD/IARD. If you are not associated with either a broker-dealer, investment adviser firm or otherwise not already entitled to CRD/IARD, please contact FINRA at [email protected] so we can better assess your specific CRD training needs.

Firms with adequate accommodations can receive two free participant spaces by hosting a training session.

Learn more about hosting Foundations of CRD training sessions.

Session Topics

  • Introduction
  • Overview of classic CRD and new CRD
  • Account Administration
  • Electronic Forms Overview
  • Organization and Individual Information
  • Firm, Branch and Individual Queues/Activities
  • Firm Notifications
  • Disclosure Navigation
  • Qualifications Information
  • Reports
  • IARD Overview
  • RAD Hot Topics

Upon completion, participants should be able to:

  • Identify and explain the basics of Account Administration
  • Submit form filings via classic CRD
  • Interpret individual and firm records
  • Request and view reports
  • Navigate through disclosure sections
  • Manage information in Firm and Individual Queues/Activities
  • Monitor Qualification information
  • Request Firm Notifications

* Payment is due upon registration. Registrants are solely responsible for the costs of travel and hotel accommodations. If an individual is not a “confirmed registrant” (i.e. you do not receive a confirmation email), there is no guarantee that you will be able to participate in the class.