Central Registration Depository (CRD)
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 CRD program covers the registration records of broker-dealer firms, branch offices and their associated individuals, including their qualification, employment and disclosure histories; it also directs the processing of form filings, fingerprint submissions, collection and disbursement of registration-related fees, qualification exams and continuing education sessions. The registration filing requirements of the CRD program are being integrated into the new FINRA Gateway system. Learn more about the CRD program and FINRA Gateway on the pages linked below.
The general public can review information about investment professionals with the registration information collected through the CRD program and is disclosable via our investor protection tool, BrokerCheck.
Optional Form U4 E-Signature and CE Notification Features Available in FINRA Gateway
Effective September 25, 2021 firms can now enable two new optional features in FINRA Gateway’s Firm Settings. Registered securities professionals with FinPro accounts can now receive auto-generated email reminders about their regulatory element CE requirement as well as electronically sign their Form U4 filings.
Form BR Now Available in FINRA Gateway
Effective January 24, 2022, branch registration forms are available in the FINRA Gateway. Leveraging the modern data collection interface, users can now create an Initial Form BR from the firm profile and amend or close specific branches from the related Branch Profile. The Classic CRD experience will continue to be available until May 1, 2022. Watch a recording of a webinar held in December 2021 to learn more about key features of the enhanced filing process.
SEE THE REGISTRATION FILING IN FINRA GATEWAY PAGE FOR MORE INFORMATION
On This Page:
Classic CRD
Pay Fees
Learn more about the processing and payment of registration, examination and filing fees related to the CRD program.
Registration Forms
Every firm, branch and individual registration form now has a dedicated page with consolidated system and compliance information.
Training & Support
Access job aids, training and other resources relevant to CRD.
Frequently Asked Questions
View frequently asked questions about the CRD system and program.
Filing Guidance and Policy
Find guidance on topics such as Forms U4 and U5, FINRA Rule 2080, FINRA Rule 4530 and late disclosure filings.
Download Forms
Download Uniform Registration forms and forms related to BrokerCheck.
Web EFT
Learn more about batch-filing Forms U4, U5, BR and NRF using Electronic File Transfer (Web EFT).
Annual Renewal Program
Find information about the annual requirement to renew registration with FINRA, other SROs, and all appropriate jurisdictions.
FINRA Gateway & Registration System Changes
CRD is Moving to FINRA Gateway
This page will serve as an at-a-glance resource to help broker-dealer firm users track the development of CRD program-related functionality in FINRA Gateway. Information will be provided about retiring Classic CRD features and FINRA Gateway enhancements as it becomes available.
Registration Filing in FINRA Gateway
Updates about the transition of registration filings to FINRA Gateway will be provided on this page as information becomes available.
Reference Guide for Transitioning From Classic CRD to FINRA Gateway
This guide was created to help customers from Classic CRD transition to FINRA Gateway.
Moving From CRD to FINRA Gateway Webinar
This webinar discusses the transition of CRD tools and tasks to the new FINRA Gateway using real work scenarios.
FINRA Gateway Resources
Learn more about the developing system, current features, and future milestones.
FINRA Gateway Release Notes
Find out about the latest enhancements and features implemented in the system.
FINRA Webinars
Attend and access resources from webinars detailing technology developments and their effects on registration compliance workflows.
Announcements
- CRD and IARD Release Notes 2022.01
View an explanation of changes to Classic CRD and IARD implemented on January 22, 2022.
- End-Of-Life Operating Systems Blocked April 30
Access devices running end-of-life operating systems will be blocked from accessing FINRA applications effective April 30, 2022. After that date, you will not be able to access FINRA applications with the affected system until you upgrade to a supported version of the operating system. Please consult your IT provider for more information related to end-of-life operating systems.
Please contact the FINRA Gateway Call Center if you have questions or concerns about this implementation.
Supported Operating Systems- Broker-dealer Firms, Funding Portals – (301) 869-6699
- Investment Advisers Firms, Exempt Reporting Advisors – (240) 386-4848
- Windows 10 Version 2004 or newer
- Mac OS X 10.15 or newer
- Ohio AG and RA Registration Rule Changes
Beginning September 30, 2021, the State of Ohio (OH) will require qualification exams for AG and RA registrations requested on Form U4 submissions. This rule change will not affect individuals who are currently registered or eligible to re-register in Ohio. For additional information on the rule changes, visit the Ohio Department of Commerce's Proposed Rules page.
- AG registrations will require reps to pass the Series 63 exam.
- RA registrations will require passing the Series 65 exam.
- Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
- Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2022
- Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
- FINRA Gateway – Changes to Form U4 User Interface and Access to Continuing Education
- Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
- Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
- Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2019
- Presentation Changes and New Functionality in the Central Registration Depository (CRD) System
- Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
- Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2018 Payment Deadline: December 18, 2017
- Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
- Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2017
- Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
- Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2016
- Final Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
- SEC Approves FINRA Rule 2081 Regarding Prohibited Conditions Relating to Expungement of Customer Dispute Information
- Compliance ToolsFINRA Gateway Reports, previously referred to as Dynamic Reporting, helps firm staff answer common questions and make informed decisions using FINRA data. Choose from templates for firm, branch, individual, or filing data to create your own custom reports.October 04, 2019
- PodcastTwenty years after its last major update, FINRA’s Central Registration and Depository (CRD) system, the backbone of BrokerCheck, is getting a facelift. On this episode of FINRA Unscripted, we hear what users can expect from the multi-year CRD transformation process.March 05, 2019
- Guidance
The information provided in this job aid is intended to serve as a reference for firms to determine the annual renewal fees charged per registered individual as listed on the Renewals – Firm Renewal Report and Download.1
When requesting the Renewals – Firm Renewal Report and Download, select the ‘Yes’ option in answer to ‘Generate Zipped CSV file?’ parameter.
December 07, 2018 - Guidance
Firms and associated persons are required to provide complete, up-to-date and accurate information on registration forms (e.g., Form BD, Form U4, Form U5 and other forms) (“Filings”). Some of the information required to complete these Filings is personal information. Please review the guidance provided on this page on how to protect this information.
January 11, 2018 - FAQWeb EFT Frequently Asked QuestionsSeptember 11, 2015
- FAQThe following frequently asked questions provide information about the Central Registration Depository (CRD).
- FAQ1. What is the Form BR? Form BR is the Uniform Branch Office Registration form that enables firms to "register" or "notice file" branch offices electronically through Web CRD® with FINRA, the New York Stock Exchange, Inc. (NYSE) and other participating jurisdictions.
- FAQ1. What is the URL for Web CRD? FINRA recommends that FINRA-registered firms access Web CRD through the Firm Gateway. This site will allow you to access Web CRD as well as other FINRA applications. The Firm Gateway is located at https://firms.finra.org.
- FAQ
Timely and complete reporting of all information required by the FINRA By-Laws and rules, as well as the federal securities laws is critical. The Securities and Exchange Commission, FINRA, other self-regulatory organizations and state securities regulators use the information to make licensing and registration decisions, among other things. FINRA also uses the information in FINRA BrokerCheck, which investors use for researching the professional backgrounds of firms and brokers.
- FAQ1. What types of Dual Deficiencies exist? There are three deficiencies: RR/RR, RR/RA, RA/RA. A state may have different requirements for each registration combination. Contact the state regulator directly.
- FAQThe following are frequently asked questions (FAQ) regarding renewals that are applicable to broker-dealer (BD) firms. If your firm is a joint broker-dealer/investment adviser (BD/IA) firm,
- FAQ
For detailed information regarding amendments to FINRA Rule 4530, please see Regulatory Notice 13-08.
- FAQ1. How do I submit form filings to Web CRD? Upon completion of a filing...
- FAQ1. What is meant by a "Queue?" A Queue is an online electronic listing...
- FAQ1. What is E-Bill and what can I do in E-Bill? E-Bill is FINRA's financial system that enables entitled users to view accounting details of the firm's Flex-Funding and Renewal accounts, fund the accounts, pay annual renewal assessments and view and pay FINRA invoices.
- Compliance Tools
The Web CRD Late Filing Fee Report is a monthly analysis of FINRA firms' ability to meet certain filing obligations. In accordance with FINRA rules, firms are required to submit information related to registered representatives. This report displays a firm's performance in submitting certain U4 and U5 filings in the required time frame.
- FAQThe following questions and answers provide guidance regarding the operation of FINRA Rule 2080, which was formerly NASD Rule 2130.
- FAQ
1. How do I submit form filings to CRD?
- FAQ
1. Where can I access a list describing the exams listed in CRD?
A listing of the exams available in CRD can be found on the Qualification Exams page.
2. How long is an exam window in CRD?
Exam windows are valid for 120 days. Provided that an exam candidate is not subject to a waiting period after a previous failed attempt, the exam window start date will be the day following the submission of the exam enrollment request.
- Compliance ToolsMonitor a firm's performance in reporting disclosure and non-disclosure events and CRD late filing fee information.
- FAQUnderstanding Your FINRA Flex-Funding Account
- FAQCRD - FAQ Form Filing for Individuals
- FAQ1. What are some tips for printing PDF Reports? To print reports in Portrait format...
- FAQThe following FAQ address general Entitlement questions. For detailed information, refer to the website specific to each user group...
- Compliance Tools
The Web CRD Form BD Timeliness Report Card is a monthly analysis of FINRA firms' ability to meet certain filing obligations. In accordance with FINRA rules, firms are required to submit information related to applicant member and/or affiliate(s). This report displays a firm's performance in submitting certain BD amendment filings in the required time frame.
- GuidanceFINRA provides registration and licensing relief to FINRA-registered persons and certain formerly registered persons who volunteer or are called into active military duty.
- FAQCRD FAQ - Form Filing for Individuals - Disclosure
- FAQ
Q. What is a duplicate disclosure and how is a duplicate disclosure created?