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.

On This Page:

• Classic CRD
• FINRA Gateway & Registration System Changes
• Announcements
• Events

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.

Events

June 16 – 18, 2020: SILA Regional Event & Firm Outreach (St. Louis, MO)

On June 17, FINRA staff will participate in SILA’s regional chapter meeting. At the meeting, FINRA will provide updates and facilitate conversations with the industry about changes (both proposed and upcoming) to fulfilling regulatory requirements, operational needs, and compliance monitoring. Topics will include:

• the new FINRA Gateway, 
• the enhanced U4 data entry experience, 
• the Financial Professional Gateway (FinPro), 
• and other ideas or questions of interest to participants.

FINRA will also meet with local firms to discuss topics of mutual interest while in the St. Louis area.   

October 5 – 7, 2020: 2020 ARM Annual Educational Conference (Sarasota, FL)

Previously scheduled to be held June 8 – 10, 2020

Management from FINRA’s Credentialing, Registration, Assessments and Disclosure (CRED) and Technology Departments will cover the following topics at the Association of Registration Management’s (ARM) annual conference:

• the evolution of CRD and its integration into the new FINRA Gateway,
• the expansion of the Financial Professional Gateway (FinPro), and
• the proposed Continuing Education Transformation.

Bring your ideas and questions to these interactive sessions where FINRA will discuss recent updates, the launch of upcoming features and whatever else you would like to see.

October 11 – 14, 2020: 2020 SILA National Education Conference  (Seattle, WA)

FINRA is committed to attend and present at the Securities & Insurance Licensing Association’s (SILA) National Education 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:

• Enhanced U4 Online Filing Experience previews the improved online filing functionality that will replace the classic CRD U4 experience this summer.
• Leveraging FinPro for Streamlined Compliance outlines the principles guiding the development of this system as well as the interplay between its features for reps and firm-facing FINRA products.
• Move over Firm Gateway; FINRA Gateway is coming soon 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 uses real-work scenarios to demonstrate the transition from CRD tools to the new FINRA Gateway. 

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.

July 29, 2019: CRD & DXT Roundtable (Chicago, IL)

Members of FINRA’s Registration and Disclosure (RAD) and Technology teams held a small roundtable at the Chicago FINRA office location on Monroe Street to discuss the following topics:

• Your experiences with the new CRD & Financial Professional Gateway (FinPro);
• Form U4 data collection in the new CRD system; and
• FINRA’s recently-announced Digital Experience Transformation (DXT), an initiative that will simplify and unify the many applications that FINRA administers.

Subscribe to the FINRA Registration and Licensing email list if you would like to receive notifications about future events.

June Virtual Roundtables – Data Collection/U4 (Remote)

• Monday, June 17, 2019, 4 – 5 p.m., Eastern Time (ET)
• Monday, June 24, 2019, 11 a.m. – 12 p.m., ET

FINRA is arranging a series of virtual roundtables about new CRD, Financial Professional Gateway (FinPro) and Digital Experience Transformation (DXT). The highly interactive roundtables are focused on industry needs and challenges – and the features that FINRA can develop to resolve them – with small diverse groups of firm participants.

Every roundtable will facilitate discussion on a pre-determined topic. June sessions addressed how CRD collects information for the Form U4.

Open webinars on this topic will also be held. If you would like to receive notifications about future roundtables, please subscribe to our Registration and Licensing email.

June 6 – 7, 2019: Foundations of CRD Training (Chicago, IL)
Foundations 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. Learn more about this and other training offerings on the CRD Training and Support page.

May 15 – 17, 2019: 2019 FINRA Annual Conference (Washington, DC)
FINRA held a panel discussion about the new CRD system and the Financial Professional Gateway (FinPro). Attendees were also able to demo and discuss the new systems with FINRA staff at their exhibit booth.

Registration is now open for the 2020 Annual Conference in Washington, DC, on May 12 – 14. Reduced rates are available for the first 100 in-person registrants before October 4, 2019.

April 2019: FINRA’s Registration Systems are Migrating to the Cloud
Cloud-based technology is an essential component of our ongoing transformation effort, and FINRA moved data in April to its new “cloud” platform during three consecutive weekends. Please visit our availability schedule for the complete listing of dates and hours of these planned outages.

March 27, 2019 • 1 p.m. – 2 p.m., Eastern Time (ET): New CRD Overview (Webinar)
FINRA’s Registration and Disclosure (RAD) Training team conducted a one-hour virtual overview of the new CRD system designed to familiarize users with the latest functionality. Registration is now closed. Similar future events will be advertised on this page as they are scheduled.

March 7 – 8, 2019: Foundations of CRD Training  (Jacksonville, FL)
FINRA’s Registration and Disclosure (RAD) Training team offered a two-day course right after the 2019 ARM Annual Educational Conference. Foundations training offers practical, hands-on training for both classic and new CRD functionality, as well as a discussion of RAD hot topics and an overview of IARD. Learn more about future training opportunities on the CRD Training & Support page.

March 5, 2019: CRD Transformation: Enhancing the Registration & Disclosure Process (Podcast)
Listen to Derek Linden, FINRA’s executive vice president of Registration & Disclosure (RAD) discuss the CRD Transformation during episode 29 of FINRA Unscripted.

March 4 – 6, 2019: 2019 ARM Annual Educational Conference (Amelia Island, FL)
Management from FINRA’s Registration and Disclosure, and Technology Departments covered the following topics at the Association of Registration Management’s (ARM) annual conference:

• CRD’s evolution with a new view of individual representative data,
• the start of our transformation of branch processing and management,
• an expansion of the Financial Professional Gateway (FinPro), and
• the introduction of ways to support automation and leverage information via a brand new reporting capability.