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Central Registration Depository (CRD)

FINRA operates the Central Registration Depository (Web CRD®), the central licensing and registration system used by the U.S. securities industry and its regulators. Web CRD contains the registration records of broker-dealer firms and their associated individuals including their qualification, employment and disclosure histories; it also facilitates the processing of form filings, fingerprint submissions, qualification exams and continuing education sessions. Web CRD is a secure system that only firms and regulators that have been granted access by FINRA can use. Learn more about requesting access, system functionality and best practices on the pages linked below.

The general public can review reports generated from Web CRD information that is disclosable through our investor protection tool, BrokerCheck.

See How We Are Transforming CRD

FINRA is working on a new CRD system that will be intuitive, flexible and efficient, to make it easier for firms and their associated persons to fulfill their compliance obligations. Read more about what we have already implemented and have planned in the future for CRD.

Learn More

 

Frequently Asked Questions

Find quick answers to frequently asked questions regarding the Central Registration Depository (Web-CRD).

 

Training and Support

Attend Web CRD training sessions, download the Web CRD Quick Reference Guides, and view frequently asked questions.

 

Web EFT

Firms with high filing volume can batch-file Forms U4, U5, BR and NRF in batch using Electronic File Transfer (Web EFT).

 

Download Forms

Download forms related to Web CRD or BrokerCheck, including the Uniform Registration Forms.

 

Annual Renewal Program

Every year, BD firms must renew their registration with FINRA, other SROs, and all appropriate states/jurisdictions.

 

 

Request Access to Web CRD

Learn about the Web CRD entitlement process, and how to designate a Super Account Administrator that manages user accounts for your firm.

 

Pay Fees

Firms pay for registration-related fees through their Flex Funding Accounts. Learn about payment methods and fee schedules.

 

Filing Guidance and Policy

Find guidance on topics such as Forms U4 and U5, FINRA Rule 2080, FINRA Rule 4530 and late disclosure filings.

 

Fingerprints

Submit fingerprints to FINRA electronically or via hard copy for required individuals.

 

CRD Information for Small Firms

Tips, system visual aids, user manuals, and other tools to help small firms in using Web CRD

Announcements

  • Annual Renewal Program
    The 2020 Renewal Calendar is now available. Preliminary Statements will be available November 11 in E-Bill. Renewal reports will continue to be available through CRD/IARD for reconciliation purposes. See the Firm Renewal Report Guide for more information.
  • Save the Date! Registration for Fall RAD Training Sessions Will Open Shortly:
    • Foundations of CRD Training • September 23 - 24, 2019 • Rockville, MD
      This training is designed for broker-dealer (BD) firms or joint BD/investment adviser firms and will cover both classic CRD and new CRD functionality, registration and disclosure hot topics, plus an overview of IARD. Cost $500.
    • FINRA Registration and Disclosure Boot Camp • September 25- 26, 2019 • Rockville, MD
      This training is designed for those who are new to reporting disclosure information in CRD or those who want to receive refresher training and reporting tips. Cost $600

    • BOGO Offer: Foundations of CRD Training and FINRA Registration and Disclosure Boot Camp• September 23- 26, 2019 • Rockville, MD
      Attend both trainings (Foundations of CRD and FINRA Registration and Disclosure Boot Camp training) for a reduced cost of $800.

      To receive the discount, register for one of the classes. The discount code to register for the other class will be included in your email confirmation. The discount is non- transferable and only valid for one person to attend both events.

      Space is limited, so register soon 

  • See What Firms Are Saying
    Would you like to see some of the feedback FINRA has received from firms about the new CRD and FinPro? Take a look at the  feedback compiled from outreach sessions we held in conjunction with the 2019 ARM Annual Conference .
  • FINRA’s 2019 Entitlement Certification Ended June 21
    Super Account Administrators (SAAs) for firms with more than one user who have not yet certified must do so immediately. The ability to create, edit and clone accounts has been disabled and will remain so until certification is completed. Other consequences include notification to the appropriate FINRA District Office for FINRA member firms or notifications to other regulators for non-FINRA organizations. In addition, all user accounts for an organization will be suspended. Should account suspensions occur, SAAs from affected organizations will be required to work with the FINRA Entitlement Group in order to regain system access.

    For detailed information, refer to the following pages: 
  • 2019 ARM Annual Educational Conference
    Management from FINRA presented at the Association of Registration Management’s annual conference, which was held March 4 – 6, 2019, in Amelia Island, Florida. 2019 ARM Educational Conference .
  • Web CRD and IARD Release Notes
    View explanations of recent and upcoming system changes in the release notes linked below:
  • Regulatory Notice 19-01
    Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
  • Information Notice – 9/24/18
    Presentation Changes and New Functionality in the Central Registration Depository (CRD) System
  • Regulatory Notice 18-01
    Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
  • Regulatory Notice 16-42
    Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2017
  • Regulatory Notice 16-01
    Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
  • Regulatory Notice 14-31
    SEC Approves FINRA Rule 2081 Regarding Prohibited Conditions Relating to Expungement of Customer Dispute Information
  • Regulation and Compliance, Podcast
    CRD Transformation: Enhancing the Registration & Disclosure Process
    Twenty 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
    Firm Renewal Report Guide

    December 7, 2018

    Renewal – Firm Renewal Report and Download1 – 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

    December 07, 2018
  • Guidance
    Protecting Personal Information in Registration Form Filings

    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
  • Compliance Tools, Report Card
    Disclosure Report Cards
    Monitor a firm's performance in reporting disclosure and non-disclosure events and Web CRD late filing fee information.
    October 25, 2016
  • FAQ
    Web EFT Frequently Asked Questions
    Web EFT Frequently Asked Questions
    September 11, 2015
  • Guidance
    Active Military Leave Guidance
    FINRA provides registration and licensing relief to FINRA-registered persons and certain formerly registered persons who volunteer or are called into active military duty.
  • FAQ
    CRD FAQ - Disclosure
    CRD FAQ - Form Filing for Individuals - Disclosure
  • FAQ
    Duplicate Disclosure Interpretive Guidance - FAQ

    Q.  What is a duplicate disclosure and how is a duplicate disclosure created?

  • FAQ
    Frequently Asked Questions about the Central Registration Depository (Web CRD)
    The following frequently asked questions provide information about the Central Registration Depository (CRD).
  • FAQ
    CRD - FAQ Branch Office Registration
    1. 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.
  • FAQ
    CRD - FAQ - General
    1. 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
    Late Disclosure Fee Frequently Asked Questions

    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.

  • FAQ
    CRD FAQ - Dually Registered Representatives and/or IA Representatives of Affiliated Firms
    1. 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.
  • FAQ
    Renewal Program FAQ
    The 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
    FINRA Rule 4530 – CRD Form U4 Frequently Asked Questions (FAQ)

    For detailed information regarding amendments to FINRA Rule 4530, please see Regulatory Notice 13-08.

  • FAQ
    CRD - FAQ - Form Filing for Firms

    1. How do I submit form filings to Web CRD?

  • FAQ
    CRD - FAQ - Queues

    1. What is meant by a "Queue?"

    A Queue is an online electronic listing of notices that are generated as a result of the processing of filings, changes of registration, and disclosure updates. Specific descriptions of the available queues can be found in the Firm Queues for Individuals and Firm Queues for Organizations quick - reference guides.

    2. Why am I not receiving the expected results when I use my queues?

  • FAQ
    E-Bill Frequently Asked Questions (FAQ)
    1. 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.
  • FAQ
    Frequently Asked Questions about FINRA Rule 2080 (Expungement)
    The following questions and answers provide guidance regarding the operation of FINRA Rule 2080, which was formerly NASD Rule 2130.
  • FAQ
    CRD FAQ - General Registered Representative (AG)

    1. How do I submit form filings to Web CRD?

  • FAQ
    CRD FAQ - Qualifications

    1. Where can I access a list describing the exams listed in Web CRD?

    A listing of the exams available in Web CRD can be found on the Qualification Exams page.

    2. How long is an exam window in Web CRD?

    Exam windows are valid for 120 days.

  • FAQ
    CRD - FAQ Web CRD Transactions
    Understanding Your FINRA Flex-Funding Account
  • FAQ
    CRD - FAQ Form Filing for Individuals
    CRD - FAQ Form Filing for Individuals
  • FAQ
    CRD FAQ - Reports
    1. What are some tips for printing PDF Reports? To print reports in Portrait format...
  • FAQ
    FINRA Entitlement Program Frequently Asked Questions
    The following FAQs address general Entitlement questions. For detailed information, refer to the website specific to each user group...