FINRA is responsible for the Central Registration Depository (CRD) program, which supports the licensing and registration filing requirements of the U.S. securities industry and its regulators. The general public can review information collected through the CRD program about broker-dealer firms and their registered individuals via FINRA’s investor protection tool, BrokerCheck.
The Uniform Registration Forms are periodically revised to incorporate various changes to the forms. The most recent versions of the forms, instructions and other resources are available through the pages below.
CRD Is Moving to FINRA Gateway: Form U4, Form U5 and Disclosure Letters
FINRA is integrating the registration filing functionality that supports the CRD Program into FINRA Gateway. The deployment of registration compliance tools will be incremental over time, so firms should expect to use both Classic CRD and FINRA Gateway until the integration is complete. Key dates and details will be highlighted in this space throughout the transition:
- April 5: The ability to draft and submit Form U4 retires in both Classic CRD and the Anonymous CRD Registered Representative site.
- May 1: Disclosure letters available in FINRA Gateway Requests.
- May 15: Last day to retrieve read-only versions of invalidated draft U4s in Classic CRD
- May 17: Form U5 comes to FINRA Gateway.
Besides Form U4, Classic CRD will continue to support all other features and tools — including Form U5 and disclosure letters. See the Registration Filing in FINRA Gateway page for more details.
Individual Registration Forms
The Form U4 (Uniform Application for Securities Industry Registration or Transfer) is used by firms to register and update the registration information of associated persons with self-regulatory organizations (SROs) and jurisdictions.
The Form U5 (Uniform Termination Notice for Securities Industry Registration) is used by firms to terminate one or more of the registrations of associated persons with self-regulatory organizations (SROs), and jurisdictions.
Branch Registration Form
The Form BR (Uniform Branch Office Registration Form) is used by broker-dealers for branch office registration, notification, closing or withdrawal.
Firm Registration Forms
The Form BD (Uniform Application for Broker-Dealer Registration) and the Form BDW (Uniform Request for Broker-Dealer Withdrawal) are used by broker-dealers to register or to withdraw their registration with the Securities and Exchange Commission, SROs and jurisdictions.
The Form U6 (Uniform Disciplinary Action Reporting Form) is used by the SEC, SROs and jurisdictions to report disciplinary actions against broker-dealers and associated persons. This form is also used by FINRA to report final arbitration awards against broker-dealers and associated persons.