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Registration Forms

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: Classic CRD Features Retiring August 21

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.

On August 21, the following Classic CRD features are scheduled to retire:

  • View Individual
  • View Organization
  • Branch Composite View
  • Individual Search
  • Branch Search (also known as Organization Search)
  • Form U5 Filing Capabilities
  • Several Classic CRD Reports

Individual disclosure letters in Classic CRD will not retire August 21, and all other current Classic CRD functionality will be supported. Form U5 drafts that are not submitted before August 21 will be invalidated, but a read-only version will be made available through September 25 in Classic CRD.

Retirement dates for other functionality will be announced as they become available. See the Registration Filing in FINRA Gateway page for more details.

Individual Registration Forms

Form U4

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. 

Form U5

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.

Regulator Forms

Form U6

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.