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Foundations of CRD Questions

  • Call the Gateway Call Center at (301) 869-6699 for general information (i.e., the topics covered in the training sessions, session dates, locations, how to register, etc.) or contact [email protected]
  • Call FINRA Conference Registration at (212) 858-4119 for specific registration assistance (i.e., discrepancies with registration fee payment or registration confirmation information, non-receipt of confirmation, etc.).

Frequently Asked Questions

1. Where can I find additional information about the Foundations of CRD sessions?

General information about the sessions and registration information can be obtained from the Foundations of CRD page.

2. How can I register?

Please visit the Schedule & How to Register page.

3. How will I know if/when my registration request is accepted?

An email confirmation of your registration will be sent to you within approximately two weeks of receipt of payment. Your registration will be processed, and your space held, only at the time FINRA receives the registration fee. 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.

4. If placed on a "wait list," when will I hear if a spot has opened and I can attend?

If a session that you want to attend is full and you indicate that you would like to be placed on the wait list, you will receive a confirmation letter that you have been placed on the wait list and will be told where you are in relation to the others on the list. The wait list is based on a first-come, first-served basis. Once a space becomes available, the first person on the list will be notified of the opening and given a chance to register. If you have not been confirmed in a session within two days of the program for which you are wait listed, it is likely that a space has not become available and you will not be able to attend. In those particular circumstances, if you have paid via check, you should receive a full refund approximately two weeks after the date of the session. If a credit card was provided for payment, no charges are incurred.

5. What is the dress code for the sessions?

The attire for sessions is business casual. The training room is climate-controlled; however, we recommend that you bring a light sweater or jacket to ensure your comfort.

6. What is the cancellation policy?

Sessions are subject to cancellation based on the number of participants. We will notify registrants of session cancellations at least 30 days prior to a session start date. Registration fees will be refunded upon FINRA cancellation of a session.

If a registrant wishes to cancel, the following cancellation policy will be followed.

Notification of Cancellation:

  • 30+ days prior to the start date of the training session = 100% full refund
  • 14 to 30 days prior to the start date of the training session = Full refund less a $100.00 cancellation fee
  • Less than 14 days = No refund

Cancellation notification must be in writing and should be faxed to (202) 728-6956 or sent via email.

7. How long is each session?

The sessions are scheduled for two days.

8. How many spaces are available per session?

There are 10 - 15 seats available per session.

9. What are the dates and times of the sessions?

Please refer to the Foundations of CRD Schedule for the sessions currently available.

10. Are these sessions geared towards beginners, intermediate or advanced professionals?

The sessions are designed for those who are new to registration and licensing, new to CRD and IARD, or those who want to receive refresher training and registration tips.

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.

11. Are training materials available for individuals who cannot attend the training in person? If so, how can I receive them?

The CRD Quick Reference Guides and IARD user materials are available online from the FINRA and IARD websites. Information about the materials will be included in your confirmation package.

12. What hotel accommodations are available for the sessions?

Hotel accommodations are the sole responsibility of the attendee. FINRA is not holding reservations at any hotels; however, we have compiled a brief list of hotels that are close in proximity to the facility in which the sessions will be held.

The following hotels are in close proximity to Neal Gerber & Eisenberg LLP

The following hotels are in close proximity to FINRA in Rockville, MD.

  • Courtyard Rockville by Marriott (0.5 miles)
    2500 Research Boulevard, Rockville, MD 20850
    301-670-6700
  • Spring Hill Suites Gaithersburg by Marriott (1.0 mile)
    9715 Washingtonian Boulevard, Gaithersburg, MD 20878
    301-987-0900
  • Gaithersburg Marriott Washingtonian Center (1.2 miles)
    9751 Washington Boulevard, Gaithersburg, MD 20878
    301-590-0044
  • Courtyard Gaithersburg Washingtonian Center by Marriott (1.9 miles)
    204 Boardwalk Place, Gaithersburg, MD 20878
    301-527-9000
  • Hilton Garden Inn Rockville – Gaithersburg (1.9 miles)
    14975 Shady Grove Road, Rockville, MD 20850
    240-507-1800
  • Homewood Suites by Hilton (1.9 miles)
    14975 Shady Grove Road, Rockville, MD 20850
    240-507-1900

13. Is parking available at the training locations?

Rockville - Free parking is available in the parking lots adjacent to the FINRA building at 9513 Key West Ave. There are also a few spaces marked as Visitor Parking next to the driving circle in front of the 9513 and 9509 buildings. Take care to avoid parking in a space or lot in which towing is enforced and please check with the guard to make sure that you have parked in an appropriate location. The indoor parking garage is only accessible by individuals with an FINRA issued electronic badge (e.g., FINRA employees).

14. What should I bring when checking-in at the training locations?

FINRA Rockville - FINRA Security requests that all visitors bring a picture ID. Visitors will be subject to magnetometer screening, along with x-raying of purses, briefcases, bags, etc.