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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.

Transitioning CRD to the New FINRA Gateway User Experience

FINRA is redirecting its efforts from building the new CRD system to instead integrate the registration filing functionality into the new FINRA Gateway, which replaces Firm Gateway. As part of our Digital Experience Transformation (DXT) initiative, FINRA Gateway offers a cohesive and streamlined user experience across all of the reporting and compliance applications that migrate to this new platform. Consolidating our technology efforts and taking this holistic approach with the FINRA Gateway applications to make them intuitive, flexible and efficient, makes it easier for firms and their associated persons to fulfill their compliance obligations. A phased rollout for firm users is underway to transition to FINRA Gateway. The deployment of registration functionality will be incremental over time, so users should expect to use both classic CRD and FINRA Gateway until the integration is complete.

New CRD Will Retire August 31

Users will be automatically redirected to FINRA Gateway upon login to new CRD, and access to the new CRD system via Quick Links will be removed from FINRA Gateway and classic CRD. See the New CRD page for more details.

On This Page:


Classic CRD

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

FINRA Gateway Resources
Learn more about the developing system, current features, and future milestones.

Be in the Know
Prepare for the transition from new CRD to FINRA Gateway.

FINRA Gateway Release Notes
Find out about the latest enhancements and features implemented in the system.

FINRA Systems Webinars
Attend and access resources from webinars detailing technology developments and their effects on registration compliance workflows.


Announcements

  • New CRD Will Retire August 31
    FINRA is redirecting its efforts from building the new CRD system to instead integrate its registration filing functionality into the new FINRA Gateway. New CRD is retiring August 31, 2020; users will be automatically redirected to FINRA Gateway upon login to new CRD, and access to the new CRD system via Quick Links will be removed from FINRA Gateway and classic CRD.

    The feedback that we received from the industry while working on the new CRD, as well as the features that were created for the new system, are informing the development of the streamlined and cohesive user experience within the new FINRA Gateway platform. FINRA encourages users to continue providing feedback through the FINRA Gateway Support feature and through various Lightning Feedback activities. Subscribe to the FINRA Registration and Licensing email list to receive notifications about system updates, feedback opportunities and events.
  • FINRA's 2020 Annual Entitlement Certification Period Ended July 20
    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 re-gain system access.

    Additional information is available on the following pages:
  • Browser Support Update
    Effective April 4, 2020, FINRA ceased support of Internet Explorer 11 for CRD and IARD. Users cannot log in to those applications with an unsupported browser. You can check your current web browser at https://whatsmybrowser.org. You or your firm should upgrade your web browser if it does not meet or exceed the following minimum browser requirements: 
    • Chrome versions 68 or later
    • Firefox versions 66 or later
    • Microsoft Edge 16 or later
    • Safari versions 12 or later

  • System Release Notes
    View explanations of recent and upcoming system changes in the release notes linked below:

 


Events

Register for an Upcoming FINRA Online Testing Webinar

Firms interested in facilitating online testing appointments are invited to attend an upcoming webinar session. Use the links below to register.

All webinars are held 3—4 p.m. Eastern Time. 

Webinar

Date

FINRA Online Testing Overview

These webinars are intended for firm business and compliance staff who are new to the online testing program. FINRA staff will provide an overview and discuss key differences between the in-person and online testing experiences.

Tuesday, August 11
Tuesday, August 18
Tuesday, August 25


FINRA Systems Webinar Resources Now Available

FINRA offers several webinars about ongoing technology enhancements. Additional dates will be announced later this summer. Resources, including recordings, from previous webinar sessions are now available on the pages below.

Webinar

Enhanced U4 Online Filing Experience

Learn about the Form U4 online filing experience that will launch this fall in FINRA Gateway.

Leveraging FinPro for Streamlined Compliance

This webinar demonstrates the benefits of the growing suite of compliance tools available in Financial Professional Gateway (FinPro).

Move Over, Firm Gateway; FINRA Gateway is Coming Soon

This webinar introduces the new FINRA reporting and compliance user experience that will roll out over the coming months.

Moving From CRD to the New FINRA Gateway

This webinar discusses the transition of CRD tools to the new FINRA Gateway. It will include several real-work scenarios demonstrating how to perform registration compliance tasks through the FINRA Gateway. Information about the FINRA Gateway pilot and feedback will also be discussed, and time will be allotted at the end of the webinar for a Q&A.


September 2, 2020: NASAA's Virtual Annual Meeting (Virtual)

FINRA's Credentialing, Registration, Education and Disclosure (CRED) department will be participating in the "What's New in the World of CRD/IARD" panel at the North American Securities Administrators Association's (NASAA) Virtual Annual Meeting. Discussion and demonstrations during the panel will focus on continuing education, expungement and technology initiatives that will affect regulators and the industry.


Beginning October 11, 2020: 2020 SILA National Education Conference (Virtual)

FINRA is committed to participating at the Securities & Insurance Licensing Association's (SILA) National Education Virtual Conference this fall. More details will be provided as they become available.


Previous Events

Spring — Summer 2020: FINRA Systems Webinar Resources Now Available

Resources from previous FINRA Systems Webinar sessions are now available. During these webinars, FINRA staff demonstrate new and upcoming functionality as well as discuss how these changes affect industry workflows. Register for upcoming sessions and consult resources from previous dates on the pages below:

Learn more about these and other offerings on the FINRA Webinars page.


October 21 – 23, 2019: 2019 National Society of Compliance Professionals (NSCP) Conference  (Baltimore, MD)

NSCP attendees had the opportunity to stop by the FINRA table and learn more about technology, testing and continuing education initiatives. FINRA representatives shared how the Financial Professional Gateway (FinPro)  and the new CRD system are changing the way users complete their compliance tasks. Additionally, visitors discussed enhancements under consideration to transform the Securities Industry Continuing Education Program, plans for principal-level exam restructuring and current Securities Industry Essentials (SIE)  exam academic outreach efforts.


October 2019: CRD & DXT Roundtables (Multiple Locations)

Members of FINRA’s Registration and Disclosure (RAD) and Technology teams are holding small roundtables this October to continue discussing the new CRD, FinPro, Form U4 data collection, and FINRA’s Digital Experience Transformation (DXT).

Roundtables are scheduled at the following locations:

  • October 2: Minneapolis, Minnesota
  • October 3: St. Louis, Missouri
  • October 16: Los Angeles, California

Please contact us if you have interest in joining us at any the upcoming roundtable locations. If you would like to receive notifications about future events and other updates, subscribe to the FINRA Registration and Licensing email list.


September 2019: Registration and Disclosure (RAD) Training Sessions (Rockville, MD)

RAD Training held the following sessions this fall:

  • 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.
  • 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.

Learn more about future offerings on the CRD Training and Support page.


September 15 – 18, 2019: 2019 SILA National Education Conference  (San Diego, CA)

FINRA presented at the 2019 Securities & Insurance Licensing Association’s (SILA) National Education Conference.

 

 

 

  • 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
  • Capital Market Insights
    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

    December 7, 2018

    Renewal – Firm Renewal Report and Download1The 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

    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
    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
    September 11, 2015
  • 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.

  • 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.
  • 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 Web CRD?

  • FAQ

    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
    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...
  • 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.