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CRD - FAQ - Queues

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?

Each queue has a default set of search criteria, which often includes a default date range. You may need to adjust the date range to see all queue entries over a longer period of time.

3. How can I make sure to know if any individuals are deficient?

The Current Individual Deficiencies Queue has a date range option that defaults to one week. In order to view all individuals that are deficient, be sure that you enter specific date ranges in 30 day increments. If the appropriate date range is not used, there is a risk of not viewing every individual, which could lead to their statuses purging.

4. Which queue will provide me with individuals that were deficient and have now purged?

Check the Purged Individual Registrations Notice Queue. Submit Amendments for any individuals that have purged and that your firm would like to re-register, or the system will terminate the firm association after 120 days if all statuses were Purged. Any applicable registration fees will be assessed.

5. Which queue will provide me with individuals that had purged registration statuses and have now had their firm associations terminated?

Check the Termination Notice Queue for individuals whose firm association was terminated due to all registration requests having a status of Purged for more than 120 days.

6. What date range should I use when searching my firm's Notice of Undelivered Fingerprint Cards Notice Queue?

When viewing the Notice of Undelivered Fingerprint cards Notice Queue, do not select a specific fingerprint due date option in the "Only Notices Due Within" field unless you are specifically looking for cards due within the days specified. This is to ensure that all individuals whose prints are due within 21-30 days are included as the queue lists options of 1-5 days, 1-10 and 1-20 days.