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.
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
- FINRA's 2020 Annual Entitlement Certification Period
FINRA's 2020 Entitlement Certification period is April 20 – July 20, 2020. During this period, Super Account Administrators (SAAs) for firms with more than one user and/or administrator account must certify that individuals have the appropriate level of access to FINRA systems required to perform their job responsibilities or remove access if no longer required. This year, organizations with only an SAA account and no other users or administrators have the option to certify but are not required.
Additional information is available on the following pages:
- Browser Support Update
Beginning April 4, 2020, FINRA will cease to support Internet Explorer 11 for CRD and IARD. On or after that date, users will not be able to 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:- Release Notes 2020.04 (April 4, 2020)
- Release Notes 2020.02 (February 15, 2020)
- 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
- Regulation and Compliance, PodcastTwenty 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
- GuidanceDecember 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, Report CardMonitor a firm's performance in reporting disclosure and non-disclosure events and Web CRD late filing fee information.October 25, 2016
- FAQWeb EFT Frequently Asked QuestionsSeptember 11, 2015
- FAQCRD FAQ - Form Filing for Individuals - Disclosure
- FAQ
Q. What is a duplicate disclosure and how is a duplicate disclosure created?
- FAQThe following frequently asked questions provide information about the Central Registration Depository (CRD).
- FAQ1. 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.
- FAQ1. 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.
- FAQ1. 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.
- FAQThe 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?
- FAQ
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?
- FAQ1. 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.
- FAQThe 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.
- FAQUnderstanding Your FINRA Flex-Funding Account
- FAQCRD - FAQ Form Filing for Individuals
- FAQ1. What are some tips for printing PDF Reports? To print reports in Portrait format...
- FAQThe following FAQs address general Entitlement questions. For detailed information, refer to the website specific to each user group...
- GuidanceFINRA provides registration and licensing relief to FINRA-registered persons and certain formerly registered persons who volunteer or are called into active military duty.