CRD Filing Guidance and Policy
The following links should be helpful when filing online for your firm and associated individuals:
Electronic Fingerprint Processing
Filing Guidance Related to Registration Forms
- Current Uniform Registration Forms for Electronic Filing in CRD (U4, U5, U6, BR, BD, and BDW)
- Investment Adviser Representative (RA) Form Filing Scenarios
- Protecting Personal Information in Registration Form Filings
- Branch Office Registration Information
- Active Military Leave Guidance
- Broker-Dealer Name Guidelines
- Social Security Number Verification Service
- Simultaneous Form Filing Program
- NYSE Information Memorandum 05-93: Change In NYSE Requirements for Amendments to Form U4
- Relationship Summary (Form CRS)
- Form CRS (BD-only firms) Quick Reference Guide
- Form CRS Instructions (SEC)
- Small Entity Compliance Guide (SEC)
- Regulation Best Interest, Form CRS and Related Interpretations (SEC Resources)
- Regulation Best Interest (Reg BI) (FINRA Resources)
Frequently Asked Questions (FAQ)
- Duplicate Disclosure Interpretive Guidance
- FINRA Rule 2080 (Formerly NASD Rule 2130)
- FINRA Rule 4530 – CRD Form U4
- Late Disclosure Fee
- Relationship Summary/Form CRS (SEC)
Other Helpful Links
- State Regulators Directory (NASAA)
If broker-dealer firms have any questions or comments, please contact the FINRA Support Center at (301) 869-6699.