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CRD FAQ - General

1. How do I access the CRD system?

Industry users should access the classic CRD system through the FINRA Gateway. Once there, use the ‘Quick Links' function in the lower-left of the homepage to navigate to classic CRD as needed.

FINRA Gateway: https://gateway.finra.org

Representative site: https://filing.crd.finra.org/crdmain/ (available until October 5, 2020)

Representatives can also log in to FinPro to access draft Form U4 filings shared with them by the firm.

2. What is the Mailing Address for CRD?

The following address should be used to mail correspondence to CRD:

Registration and Disclosure Department
P.O. Box 9401
Gaithersburg, MD 20898-9401

3. What are CRD's hours of availability?

CRD is typically available:

  • Monday through Friday from 5 a.m. to 11 p.m., Eastern Time (ET)
  • Saturday from 8 a.m. to 6 p.m., ET
  • Sunday from 10 a.m. to 6 p.m., ET

For any scheduled exceptions, please see the CRD Availability Schedule.

4. If I am having a problem in CRD and need to contact the Gateway Call Center, what information will I need to provide?

Call the Gateway Call Center at (301) 869-6699. To help us resolve your inquiry as quickly as possible, please have the following information available for your call:

  1. what function you were performing in CRD when the problem occurred;
  2. what time did the problem occur;
  3. the CRD# and/or BD#;
  4. the user ID;
  5. the exact error message received, if applicable.

5. How can I print a complete form filing?

Prior to Submission of the Filing:

At any time while you are capturing data in a filing, you may click on the "Print Preview" item. This functionality will allow you to select to print one section at a time or all pages.

After Submission of the Filing

  1. Access the individual's or firm's record through Individual or Organization Search and select "Filing History."
  2. Select the form type from the list of filings.
  3. This functionality will allow you to choose to print a page at a time, DRPs or All Pages.

6. How does a broker-dealer firm meet its books and records requirements?

Each firm must decide how best to meet FINRA, SEC, and any state books and records. It is impractical for FINRA to approve books and records creation and retention methods on a firm-by-firm basis for FINRA record keeping purposes; moreover, firms' record keeping maintenance procedures must ultimately comply with the books and records requirements in Rules 17a-3 and 17a-4 under the Securities Exchange Act of 1934 (Exchange Act). In February 2008 the SEC issued a no-action letter regarding the ability of FINRA-registered firms to rely on certain electronic records submitted to and maintained in Web CRD to satisfy their record retention requirements under Exchange Act Rule 17a-4. As a result, FINRA-registered firms can rely on Web CRD to satisfy their record retention requirements with respect to certain Forms U4, U5 and BR filed in Web CRD. FINRA-registered firms seeking to rely on the no-action relief should refer to Information Notice 2/21/08 and Regulatory Notice 09-40.

7. Will the CRD system maintain a mailing address for my firm?

The Form BD form will update the firm's Main and Mailing Address. To update the CRD Contact Address, navigate to Organization, Non Filing Information and select Maintain Contact Information.

8. Why, in my organization's historical name record, is there an "Effective Date" that does not appear to be correct?

In Organization Non-Filing Information, under Organization Names, an historical name record for your firm may contain an "Effective Date" that does not appear to be correct. For example, the date may read 11/10/58, years before the advent of the Legacy CRD system. This is due to the fact that FINRA converted to Web CRD all Organization Name historical records contained on the Legacy CRD System; however, the original Organization Name record used in the conversion did not have a corresponding Effective Date.

FINRA used the Date of Formation provided by the firm on the Form BD to populate the "Effective Date" field.