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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.

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:

  • May 1: Enhanced individual 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.

Form U5, individual disclosure letters and several reports in Classic CRD are scheduled to retire on August 21. Retirement dates for other functionality will be announced as they become available. See the Registration Filing in FINRA Gateway page for more details.

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

  • Additional registration categories for Cboe and Cboe C2 available July 1
    Beginning July 1, 2021
    , Cboe Options and C2 Options exchanges will recognize additional registration categories. Entitled users will have the ability to submit Forms U4 and U5 to add or terminate the registration categories for Compliance Officer (CR) and General Securities Principal (GP). For regulatory or policy questions, please see the Cboe Regulatory Circular 21-010. This and other updates, if any, are available on the Cboe Options Exchange Circulars page.
     
  • CRD and IARD Release Notes 2021.05
    View an explanation of changes to Classic CRD and IARD implemented on May 17, 2021.
     
  • Qualification Exam Enrollment Windows Extended Through June 30, 2021
    For exams other than the SIE, Series 6 and Series 7, FINRA and the MSRB will extend all enrollment windows that are currently expired, or will expire, between March 16, 2020 and June 30, 2021. FINRA and the MSRB exam enrollment end dates will be extended through the same end date of June 30, 2021. For the full announcement, see FINRA's COVID Updates page.
     
  • Online Testing for Additional FINRA Exams
    To address the ongoing challenges facing exam candidates by the COVID-19 pandemic, FINRA is adopting an interim accommodation request process to allow candidates to take additional FINRA exams online, including the Series 24, Series 57, Series 79 and Series 99 exams. This change is effective on February 24, 2021. An interim accommodation request is not required for the Securities Industry Essentials (SIE), Series 6 or Series 7 exams, which have been available online for all candidates since mid-July 2020. View the full announcement for complete information.
     
  • FINRA's 2021 Entitlement User Account Certification Process
    FINRA's 2021 User Accounts Certification Process for Super Account Administrators (SAAs) is scheduled for April 19, 2021 – July 19, 2021. During this period, SAAs for firms with more than one user and/or administrator account must certify that authorized users are only entitled to those privileges necessary to perform their job responsibilities on the FINRA Entitlement platform or remove access if no longer required. Organizations with only an SAA account and no other users or administrators have the option to certify, but are not required, unless the firm has access to the Consolidated Audit Trail (CAT). Firms with one or more accounts with access to CAT must certify.
     
  • New York IA Representative Registration
    • Effective February 1, 2021, the State of New York (NY) began registering Investment Adviser Representatives (IARs) in CRD. On February 1, Forms U4 and U5 were updated to allow firms to select, under Section 5 of Form U4, RA registration in NY. Web EFT was also updated but there were no schema changes as the result of this update.
       
    • From February 1 until June 30, 2021, NY will offer both noticed and registered NY investment adviser firms an offline "mass registration" process in an effort to help facilitate bulk RA registration. Firms with 20 or more IAR applicants, who are currently registered on CRD with your firm in another capacity (e.g., GS, AG, RA in another jurisdiction) and who satisfy NY’s RA exam or exam waiver requirements, may take advantage of this process. By utilizing this off-system process, firms can ensure that NASAA’s Series 65 examination windows/enrollments will not systematically generate in CRD for those individuals who may otherwise be waived by NY from taking (or re-taking) the Series 65.
       
    • FINRA Gateway Reports now offers templates designed to support firms throughout the NY RA registration process. The four new report templates identify individuals who: 
      • may be subject to the registration requirement, 
      • have a NY RA registration requested, 
      • have an approved NY RA registration and
      • have opened an exam enrollment.
         

      Please note that the Reports feature is only available to broker-dealer firms, including firms dually registered as both a broker-dealer and an investment adviser (IA). IA-only firms cannot currently access this feature.

    • Beginning February 27, 2021, CRD was temporarily updated so that windows for NASAA's Series 65 examination will not systematically open when NY RA is the only registration requested on the filing (selection of other RA registrations will trigger any necessary exam requirements). If an individual requesting NY RA needs to take the Series 65, the firm will need to explicitly select the exam in Section 7 of Form U4 in order for the enrollment/window to be generated and the applicable fee to be charged. The automatic generation of Series 65 enrollments/windows when NY RA is requested will be re-enabled at a future time.
       

    For specific information regarding NY’s mass registration process, please contact [email protected]. Please check the OAG's website for guidance on the new rules.

 

  • 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
  • Podcast
    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

    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
  • FAQ
    Web EFT Frequently Asked Questions
    September 11, 2015
  • FAQ
    The following FAQs address general Entitlement questions. For detailed information, refer to the website specific to each user group...
  • 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 - Form Filing for Individuals - Disclosure
  • FAQ

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

  • FAQ
    The following frequently asked questions provide information about the Central Registration Depository (CRD).
  • FAQ
    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
    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

    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.

  • 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.

  • FAQ
    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
    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

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

  • FAQ
    1. How do I submit form filings to Web CRD? Upon completion of a filing...
  • FAQ
    1. What is meant by a "Queue?" A Queue is an online electronic listing...
  • 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.
  • 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.

  • FAQ
    The 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 Tools
    Monitor a firm's performance in reporting disclosure and non-disclosure events and CRD late filing fee information.
  • FAQ
    Understanding Your FINRA Flex-Funding Account
  • FAQ
    CRD - FAQ Form Filing for Individuals
  • FAQ
    1. What are some tips for printing PDF Reports? To print reports in Portrait format...