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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.

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

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


Announcements

  • E-Bill Scheduled Outage in October

    FINRA is upgrading its back-end accounting systems at the beginning of October. As a result of this upgrade, the E-Bill system will be unavailable from Thursday, October 1, until Friday, October 9, 2020. During this outage period:
     
    • Accounting transactions (including CRD/IARD transactions) will still be deducted from your Flex-Funding Account, but account balance changes that occur during the outage will not be viewable in E-Bill.
    • Organizations will not be able to perform the following activities:
    • add funds via ACH, wire or check;
    • initiate funds transfers between accounts, affiliated firms and invoices; or
    • view historic financial information.
    • AutoPay will not pay pending invoices or add funds.
    • Accounting-related reports will not be available.
    • No new invoices will be generated.
    • E-Bill notifications will not be sent.


    Organizations are encouraged to deposit funds in the organization’s Flex-Funding Account to avoid CRD/IARD-related filing issues (e.g., “Funds Deficient” statuses) prior to Wednesday, September 30, to ensure that the outage does not interfere with upcoming organizational needs.

  • New CRD Retired August 31

    Users who accessed the separate system known as New CRD to use features such as Activities will be automatically redirected to FINRA Gateway upon login, and access to the separate New CRD system via Quick Links was removed from FINRA Gateway and classic CRD.

    The feedback that we received from the industry while working on the new CRD system, 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 by participating in various Lightning Feedback activities. Subscribe to the FINRA Registration and Licensing email list to receive notifications about system updates, feedback opportunities and events.

Events

September 10, 2020: FINRA Gateway, Feature Highlight: Dynamic Reporting 101 (Webinar)

This webinar highlights FINRA Gateway’s Dynamic Reporting. Dynamic Reporting gives you direct access to your organization's data so you can get immediate answers to common questions. Dynamic Reporting was developed in direct response to customer requests for a more flexible reporting tool. This webinar will provide a walk-through of Dynamic Reporting features and helpful resources to reference when using Dynamic Reporting on your own.

September 10, 2—3 P.M. Eastern Time

Recordings and slides from this and other webinars will be made available on the FINRA Gateway Webinars page.


September 29—30, 2020: 2020 ARM Annual Educational Conference (Virtual)

Management from FINRA’s Credentialing, Registration, Education and Disclosure (CRED) and Technology Departments will present at the Association of Registration Management’s (ARM) annual conference. Complete information is available on ARM’s Conferences and Events page.


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:

FINRA Systems Webinars

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


 

 

  • 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
    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.
  • 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.