CINXE.COM

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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." /> <link rel="canonical" href="https://www.finra.org/registration-exams-ce/classic-crd" /> <link rel="image_src" href="https://www.finra.org/sites/default/files/2023-12/finra-logo.png" /> <meta name="google" content="p6aFpyERRdC4Ror_K0mTRRtXKjAsz35RTQl_MDv_nNg" /> <meta property="og:title" content="Central Registration Depository (CRD)" /> <meta property="og:description" content="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. 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aria-labelledby="Broker Dealers">Broker Dealers</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content0ecbf1ea-6ca0-4bc8-8e9b-59e7cba90a62--2" class="sf-depth-4 header sf-no-children"><a href="/registration-exams-ce/capital-acquisition-brokers" class="sf-depth-4" aria-labelledby="Capital Acquisition Brokers">Capital Acquisition Brokers</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content01963f11-2411-4031-a5c9-8e73580648f3--2" class="sf-depth-4 header sf-no-children"><a href="/registration-exams-ce/funding-portals" class="sf-depth-4" aria-labelledby="Funding Portals">Funding Portals</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content45b769ff-9b3c-4cbc-befb-79380e5b6014--2" class="sf-depth-4 header sf-no-children"><a href="/registration-exams-ce/individuals" class="sf-depth-4" aria-labelledby="Individuals">Individuals</a></li></ol></li></ol></div></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentac0e3bb2-976c-4b6a-8fec-981489a9fdec--2" class="sf-depth-2 header sf-multicolumn-column menuparent"><div class="sf-multicolumn-column"><a href="/registration-exams-ce" class="sf-depth-2 menuparent" aria-labelledby="Registration Section 2">Registration Section 2</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content5b603fc0-12c2-44c3-bb60-0db5f114a14f--2" class="sf-depth-3 header menuparent"><a href="/registration-exams-ce/qualification-exams" class="sf-depth-3 menuparent" aria-labelledby="Qualification Exams">Qualification Exams</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content63752dac-c460-4619-b75a-0544d39f9e21--2" class="sf-depth-4 header sf-no-children"><a href="/registration-exams-ce/qualification-exams/securities-industry-essentials-exam-sie" class="sf-depth-4" aria-labelledby="Securities Industry Essentials Exam (SIE)">Securities Industry Essentials Exam (SIE)</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contenteba0ebc3-0134-40a1-869d-3a5a30f05306--2" class="sf-depth-4 header sf-no-children"><a href="/registration-exams-ce/qualification-exams/series7" class="sf-depth-4" aria-labelledby="Series 7">Series 7</a></li></ol></li><li id="finra-homepage-nav-megamenus-new-menu-link-content1d435c60-0a5d-4ac1-baac-6feb68ac1aa4--2" class="sf-depth-3 header menuparent"><a href="/registration-exams-ce/continuing-education" class="sf-depth-3 menuparent" aria-labelledby="Continuing Education (CE)">Continuing Education (CE)</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content12708005-03a9-4813-a1c4-b79ccb575e00--2" class="sf-depth-4 header sf-no-children"><a href="/registration-exams-ce/continuing-education/regulatory-element-topics" class="sf-depth-4" aria-labelledby="View a Regulatory Element Learning Plan">View a Regulatory Element Learning Plan</a></li></ol></li></ol></div></li><li id="finra-homepage-nav-megamenus-new-menu-link-content87ac70da-476d-497b-bee4-39d65e59ea5f--2" class="active-trail sf-depth-2 header sf-multicolumn-column menuparent"><div class="sf-multicolumn-column"><a href="/registration-exams-ce" class="sf-depth-2 menuparent" aria-labelledby="Registration Section 3">Registration Section 3</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content1f87e2bc-137c-4e76-ba12-921ac5400696--2" class="active-trail sf-depth-3 header menuparent"><a href="/registration-exams-ce/classic-crd" class="is-active sf-depth-3 menuparent" aria-labelledby="Registration Systems">Registration Systems</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content74de55a6-970c-49a4-877f-6a3cd1584db9--2" class="active-trail sf-depth-4 header sf-no-children"><a href="/registration-exams-ce/classic-crd" class="is-active sf-depth-4" aria-labelledby="Classic CRD">Classic CRD</a></li><li 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class="sf-multicolumn-wrapper "><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content9cd640c1-feb7-4c4a-b67e-a3eaedacd028--2" class="sf-depth-2 header sf-multicolumn-column menuparent"><div class="sf-multicolumn-column"><a href="/events-training" class="sf-depth-2 menuparent" aria-labelledby="Events & Training Section 1">Events & Training Section 1</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-contentf380a1ac-d9fd-45e2-8f15-32b96331c18f--2" class="sf-depth-3 header sf-no-children"><a href="/events-training/conferences-events" class="sf-depth-3" aria-labelledby="Conferences & Events">Conferences & Events</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content9abdc27c-9497-426d-be8e-465a10d034ac--2" class="sf-depth-3 header sf-no-children"><a href="/events-training/finra-georgetown" class="sf-depth-3" aria-labelledby="FINRA Institute at Georgetown">FINRA Institute at Georgetown</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content81cc3c6b-ad65-4627-8b34-69f4bb5d3e5e--2" class="sf-depth-3 header sf-no-children"><a href="/events-training/flex" class="sf-depth-3" aria-labelledby="Financial Learning Experience (FLEX)">Financial Learning Experience (FLEX)</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content8febe617-8873-4d02-aca8-d13df4b6649e--2" class="sf-depth-3 header sf-no-children"><a href="/compliance-tools/small-firms-information/small-firm-report" class="sf-depth-3" aria-labelledby="Small Firm Conference Call">Small Firm Conference Call</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content911c7ec5-023c-4c98-953f-b121ff986fa3--2" class="sf-depth-3 header sf-no-children"><a href="/events-training/webinars" class="sf-depth-3" aria-labelledby="Webinars">Webinars</a></li></ol></div></li></ol></li></ul></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentf3f7bbdd-246d-45c1-af1c-960dc8ad074d--2" class="sf-depth-1 header menuparent"><a href="/filing-reporting" class="sf-depth-1 menuparent" aria-labelledby="Filing & Reporting">Filing & Reporting</a><ul class="sf-multicolumn"><li class="sf-multicolumn-wrapper "><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content296db8b3-7b22-4c23-a036-06be44277a69--2" class="sf-depth-2 header sf-multicolumn-column menuparent"><div class="sf-multicolumn-column"><a href="/filing-reporting" class="sf-depth-2 menuparent" aria-labelledby="Filing & Reporting Section 1">Filing & Reporting Section 1</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-contentf874a19d-557b-487f-88f1-3d84445f4bc9--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/finra-gateway" class="sf-depth-3" aria-labelledby="FINRA Gateway">FINRA Gateway</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentf6c4c3c6-93c8-42cf-ab58-476a92d01380--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/systems-status" class="sf-depth-3" aria-labelledby="Systems Status">Systems Status</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentd27e2150-fc22-4e07-98c1-2cce079184a8--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/entitlement" class="sf-depth-3" aria-labelledby="Entitlement Program">Entitlement Program</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content68c74d41-92b9-4e79-84e4-5c43beaf45dc--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/market-transparency-reporting" class="sf-depth-3" aria-labelledby="Market Transparency Reporting Tools">Market Transparency Reporting Tools</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentbb250ecd-0432-4ebc-bccf-a21e455fb617--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/regulatory-filing-systems" class="sf-depth-3" aria-labelledby="Regulatory Filing Systems">Regulatory Filing Systems</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content2de7e722-b3b2-471e-9cf2-587f649dd923--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/data-transfer-tools" class="sf-depth-3" aria-labelledby="Data Transfer Tools">Data Transfer Tools</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentec6d9be1-8ac6-4071-890c-52838b5490a2--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/e-bill" class="sf-depth-3" aria-labelledby="E-Bill">E-Bill</a></li></ol></div></li></ol></li></ul></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentabdfc859-e1e4-4071-9b99-9535c132ee72--2" class="sf-depth-1 header menuparent"><a href="/compliance-tools" class="sf-depth-1 menuparent" aria-labelledby="Compliance Tools">Compliance Tools</a><ul class="sf-multicolumn"><li class="sf-multicolumn-wrapper "><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content318c9740-343f-48dd-a32e-600f8c817211--2" class="sf-depth-2 header sf-multicolumn-column menuparent"><div class="sf-multicolumn-column"><a href="/compliance-tools" class="sf-depth-2 menuparent" aria-labelledby="Compliance Tools Section 1">Compliance Tools Section 1</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content2badcc82-a0ba-4813-a97b-5cde27a154a6--2" class="sf-depth-3 header sf-no-children"><a href="https://www.finra.org/compliance-tools/cybersecurity-checklist" class="sf-depth-3 sf-external" aria-labelledby="Cybersecurity Checklist">Cybersecurity Checklist</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content7f6b440c-bc36-49c7-900b-1fe8e36909db--2" class="sf-depth-3 header sf-no-children"><a href="/compliance-tools/compliance-calendar" class="sf-depth-3" aria-labelledby="Compliance Calendar">Compliance Calendar</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contente0f11415-45ff-4cf1-925e-cf2b1f5cecf9--2" class="sf-depth-3 header sf-no-children"><a href="/compliance-tools/weekly-archive" class="sf-depth-3" aria-labelledby="Weekly Update Email Archive">Weekly Update Email Archive</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content170de235-7c02-4852-984e-95eef4499125--2" class="sf-depth-3 header sf-no-children"><a href="/compliance-tools/peer-2-peer-compliance-library" class="sf-depth-3" aria-labelledby="Peer-2-Peer Compliance Library">Peer-2-Peer Compliance Library</a></li></ol></div></li></ol></li></ul></li><li id="finra-homepage-nav-megamenus-new-menu-link-content8a617041-43a3-43ff-9f58-6a2615970d47--2" class="sf-depth-1 header menuparent"><a href="/investors" class="sf-depth-1 menuparent" aria-labelledby="For Investors">For Investors</a><ul class="sf-multicolumn"><li class="sf-multicolumn-wrapper "><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content955b2de2-2baf-4187-9e39-086c21440220--2" class="sf-depth-2 header sf-multicolumn-column menuparent"><div class="sf-multicolumn-column"><a href="/investors" class="sf-depth-2 menuparent" aria-labelledby="For Investors Section 1">For Investors Section 1</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content1def6247-9eb1-41f1-a045-bbfc96316e74--2" class="sf-depth-3 header sf-no-children"><a href="/investors/insights" class="sf-depth-3" aria-labelledby="Investor Insights">Investor Insights</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content0f5c83d6-0199-481c-bdb8-4215fffb4371--2" class="sf-depth-3 header sf-no-children"><a href="/investors/tools-and-calculators" class="sf-depth-3" aria-labelledby="Tools & Calculators">Tools & Calculators</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content53f5080d-f916-4b0a-942e-129c5cf72090--2" class="sf-depth-3 header menuparent"><a href="/investors/personal-finance" class="sf-depth-3 menuparent" aria-labelledby="Personal Finance">Personal Finance</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content7c320bbc-4fad-463a-97ee-024d99463fca--2" class="sf-depth-4 header sf-no-children"><a href="/investors/personal-finance/know-your-net-worth" class="sf-depth-4" aria-labelledby="Net Worth">Net Worth</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content26f056cf-1b99-4c9d-a97c-18cc65a4eb22--2" class="sf-depth-4 header sf-no-children"><a href="/investors/personal-finance/control-spending-calculate-cash-flow" class="sf-depth-4" aria-labelledby="Spending">Spending</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content2c662e03-9e1f-4e44-80e6-aba99155f167--2" class="sf-depth-4 header sf-no-children"><a href="/investors/personal-finance/manage-your-debt" class="sf-depth-4" aria-labelledby="Debt">Debt</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content2d5626b5-fe42-47bf-8088-a4996e53f73e--2" class="sf-depth-4 header sf-no-children"><a href="/investors/personal-finance/how-your-credit-score-impacts-your-financial-future" class="sf-depth-4" aria-labelledby="Credit Scores">Credit Scores</a></li><li 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href="/investors/investing/investing-basics" class="sf-depth-4" aria-labelledby="Investing Basics">Investing Basics</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contente62ab252-c90e-43eb-b799-328c951f9680--2" class="sf-depth-4 header sf-no-children"><a href="/investors/investing/investment-products" class="sf-depth-4" aria-labelledby="Investment Products">Investment Products</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content4a8dd42d-00d4-4290-8ed4-e6224956af5f--2" class="sf-depth-4 header sf-no-children"><a href="/investors/investing/investment-accounts" class="sf-depth-4" aria-labelledby="Investment Accounts">Investment Accounts</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentf425f2b1-c2f1-4000-9bb7-2233a2298437--2" class="sf-depth-4 header sf-no-children"><a href="/investors/investing/working-with-investment-professional" class="sf-depth-4" aria-labelledby="Working With an Investment Professional">Working With an Investment Professional</a></li></ol></li><li id="finra-homepage-nav-megamenus-new-menu-link-contenta983f7d0-3993-4f42-80d8-ed474e986f45--2" class="sf-depth-3 header menuparent"><a href="/investors/protect-your-money" class="sf-depth-3 menuparent" aria-labelledby="Protect Your Money">Protect Your Money</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content84745677-33ee-4917-b6d7-78f2d33ae64a--2" class="sf-depth-4 header sf-no-children"><a href="/investors/alerts" class="sf-depth-4" aria-labelledby="Investor Alerts">Investor Alerts</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentbabb7a34-330b-432a-9c7a-3aed86cab6b3--2" class="sf-depth-4 header sf-no-children"><a href="/investors/protect-your-money/ask-and-check" class="sf-depth-4" aria-labelledby="Ask and Check">Ask and Check</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content75981642-a29c-4c2f-a04a-268dd98fd524--2" class="sf-depth-4 header sf-no-children"><a href="/investors/protect-your-money/avoid-fraud" class="sf-depth-4" aria-labelledby="Avoid Fraud">Avoid Fraud</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content773fb0c7-df7e-422b-a8f0-3689c3f58683--2" class="sf-depth-4 header sf-no-children"><a href="/investors/protect-your-money/protect-your-identity" class="sf-depth-4" aria-labelledby="Protect Your Identity">Protect Your Identity</a></li></ol></li></ol></div></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentf03d2691-6592-4649-b41d-6652712ef3d0--2" class="sf-depth-2 header sf-multicolumn-column menuparent"><div class="sf-multicolumn-column"><a href="/investors" class="sf-depth-2 menuparent" aria-labelledby="For Investors Section 3">For Investors Section 3</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-contentb0c88306-2bd6-4078-8a56-8766b2affe7f--2" class="sf-depth-3 header sf-no-children"><a href="/investors/military" class="sf-depth-3" aria-labelledby="For the Military">For the Military</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content1b13b9ef-e483-4cb3-bce6-a5e1069fc45e--2" class="sf-depth-3 header menuparent"><a href="/investors/need-help" class="sf-depth-3 menuparent" aria-labelledby="Need Help?">Need Help?</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-contentf4bc73f1-2d52-4a24-9c44-7d956273b8fb--2" class="sf-depth-4 header sf-no-children"><a href="/investors/need-help/file-a-complaint" class="sf-depth-4" aria-labelledby="File a Complaint">File a Complaint</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentcca58141-8642-401c-acd4-a857dae74c57--2" class="sf-depth-4 header sf-no-children"><a href="/investors/need-help/helpline-seniors" class="sf-depth-4" aria-labelledby="FINRA Securities Helpline for Seniors">FINRA Securities Helpline for Seniors</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentb8670cad-ba33-4aff-a609-45c82362ed80--2" class="sf-depth-4 header sf-no-children"><a href="/arbitration-mediation" class="sf-depth-4" aria-labelledby="Dispute Resolution">Dispute Resolution</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content6b4ead9c-d440-41c5-af0b-aa0f20f66919--2" class="sf-depth-4 header sf-no-children"><a href="/investors/need-help/legitimate-avenues-recovery-investment-losses" class="sf-depth-4" aria-labelledby="Avenues for Recovery of Losses">Avenues for Recovery of Losses</a></li></ol></li></ol></div></li></ol></li></ul></li> </ul> </div> </div> </section> </div> <hr> <div id="mob_menu_sec" class="secondary-menu" style = "display:none"> <section class="region region-secondary-menu"> <nav role="navigation" aria-labelledby="block-finrautilitymenu-menu" id="block-finrautilitymenu" data-block-plugin-id="system_menu_block:finra-utility-menu" class="block block-menu navigation menu--finra-utility-menu"> <h2 class="sr-only visually-hidden" id="block-finrautilitymenu-menu">FINRA Utility Menu</h2> <ul id="block-finrautilitymenu" 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<aside class="section menu-sticky" role="complementary"> <div class="layout--left-nav"> <div onclick="this.classList.toggle('active')" class="d-sm-block d-lg-none left-nav-toggle arrow-down" data-toggle="collapse" data-target=".layout-collapse"> EXPLORE THIS SECTION </div> <div class="left-nav-collapse collapse layout-collapse"> <nav role="navigation" aria-labelledby="block-finramainnavigation-2-menu" id="block-finramainnavigation-2" data-block-plugin-id="system_menu_block:finra-main-navigation" class="block block-menu navigation menu--finra-main-navigation"> <h2 class="sr-only visually-hidden" id="block-finramainnavigation-2-menu">FINRA Main Navigation</h2> <ul id="block-finramainnavigation-2" class="clearfix nav navbar-nav"> <li class="nav-item menu-item--expanded"> <div class="expando collapsed" data-toggle="collapse" data-target="#registration-submenu"></div> <a href="/registration-exams-ce/registration" class="nav-link adjust-for-expando" aria-labelledby="Registration" 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href="/registration-exams-ce/classic-crd" class="nav-link active is-active" aria-labelledby="Classic CRD" data-drupal-link-system-path="node/126081">Classic CRD</a> </li> <li class="nav-item"> <a href="/registration-exams-ce/finpro" class="nav-link" aria-labelledby="Financial Professional Gateway (FinPro)" data-drupal-link-system-path="node/66193">Financial Professional Gateway (FinPro)</a> </li> <li class="nav-item"> <a href="/registration-exams-ce/financial-industry-networking-directory" class="nav-link" aria-labelledby="Financial Industry Networking Directory (FIND)" data-drupal-link-system-path="node/145806">Financial Industry Networking Directory (FIND)</a> </li> </ul> </li> <li class="nav-item"> <a href="/registration-exams-ce/manage-your-career" class="nav-link" aria-labelledby="Manage Your Career" data-drupal-link-system-path="node/86458">Manage Your Career</a> </li> </ul> </nav> </div> </div> </aside> </div> <main class="main-content col" id="content" role="main"> <section class="section"> <a id="main-content" tabindex="-1"></a> <div id="block-finra-bootstrap-sass-system-main" data-block-plugin-id="system_main_block" class="block block-system block-system-main-block"> <div class="content"> <article class="node node--type-article node--view-mode-full clearfix node--promoted"> <div> <div class="layout layout--onecol"> <div class="layout__region layout__region--content"> <div class="block-region-content"><div data-block-plugin-id="entity_field:node:title" class="block block-ctools-block block-entity-fieldnodetitle"> <div class="content"> <span class="field field--name-title field--type-string field--label-hidden"><h1>Central Registration Depository (CRD)</h1></span> </div> </div> <div data-block-plugin-id="block_content:7611dbf3-53e0-41ac-ab90-4c361653ab54" class="block block-block-content block-block-content7611dbf3-53e0-41ac-ab90-4c361653ab54"> <div class="content"> <nav id="tab-links" class="nav nav-tabs" role="tablist"> <a href="#overview" role="tab" data-toggle="tab" class="nav-link nav-item">Overview</a> <a href="#rules" role="tab" data-toggle="tab" class="nav-link nav-item">Rules</a> <a href="#notices" role="tab" data-toggle="tab" class="nav-link nav-item">Notices</a> <a href="#guidance" role="tab" data-toggle="tab" class="nav-link nav-item">Guidance</a> <a href="#news-releases" role="tab" data-toggle="tab" class="nav-link nav-item">News Releases</a> <a href="#investor-education" role="tab" data-toggle="tab" class="nav-link nav-item">Investor Education</a> </nav> <div id="tabs" class="tab-content"> <div role="tabpanel" class="tab-pane fade" id="overview"> <div class="field field--name-field-tab-content field--type-block-field field--label-hidden field__items"> <div class="field__item"><div id="block-body" data-block-plugin-id="entity_field:node:body" class="block block-ctools-block block-entity-fieldnodebody"> <div class="content"> <div class="clearfix text-formatted field field--name-body field--type-text-with-summary field--label-hidden field__item"><p>FINRA is responsible for the Central Registration Depository (CRD<sup>®</sup>) 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.</p><p>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, <a href="/investors/about-brokercheck">BrokerCheck</a>.</p><h3>On This Page:</h3><ul><li><a href="#classicCRD">Classic CRD</a></li><li><a href="#changes">FINRA Gateway & Registration System Changes</a></li><li><a href="#announcements">Announcements</a></li></ul><hr /><h3 id="classicCRD" name="classicCRD">Classic CRD</h3><p><a href="/registration-exams-ce/classic-crd/pay-fees">Pay Fees</a><br />Learn more about the processing and payment of registration, examination and filing fees related to the CRD program.</p><p><a href="/registration-exams-ce/broker-dealers/registration-forms">Registration Forms</a><br />Every firm, branch and individual registration form now has a dedicated page with consolidated system and compliance information.</p><p><a href="/registration-exams-ce/classic-crd/crd-user-support">Training & Support</a><br />Access job aids, training and other resources relevant to CRD.</p><p><a href="/registration-exams-ce/classic-crd/faq">Frequently Asked Questions</a><br />View frequently asked questions about the CRD system and program.</p><p><a href="/registration-exams-ce/classic-crd/filing-guidance-policy">Filing Guidance and Policy</a><br />Find guidance on topics such as Forms U4 and U5, FINRA Rule 2080, FINRA Rule 4530 and late disclosure filings.</p><p><a href="/registration-exams-ce/classic-crd/download-forms-web-crd">Download Forms</a><br />Download Uniform Registration forms and forms related to BrokerCheck.</p><p><a href="/registration-exams-ce/classic-crd/web-eft">Web EFT</a><br />Learn more about batch-filing Forms U4, U5, BR and NRF using Electronic File Transfer (Web EFT).</p><p><a href="/registration-exams-ce/broker-dealers/annual-renewal">Annual Renewal Program</a><br />Find information about the annual requirement to renew registration with FINRA, other SROs, and all appropriate jurisdictions.</p><hr /><h3 id="changes" name="changes">FINRA Gateway & Registration System Changes</h3><p><a href="/registration-exams-ce/classic-crd/crd-moving-to-finra-gateway">CRD is Moving to FINRA Gateway</a><br />This page will serve as an at-a-glance resource to help broker-dealer firm users track the development of CRD program-related functionality in FINRA Gateway. Information will be provided about retiring Classic CRD features and FINRA Gateway enhancements as it becomes available. </p><p><a href="/registration-exams-ce/classic-crd/registration-filing-finra-gateway">Registration Filing in FINRA Gateway</a><br />Updates about the transition of registration filings to FINRA Gateway will be provided on this page as information becomes available.</p><p><a href="/sites/default/files/2020-06/crd-queue-to-finra-gateway-quick-reference.pdf">Reference Guide for Transitioning From Classic CRD to FINRA Gateway</a><br />This guide was created to help customers from Classic CRD transition to FINRA Gateway.</p><p><a href="/events-training/webinars/moving-from-crd-to-finra-gateway">Moving From CRD to FINRA Gateway Webinar</a><br />This webinar discusses the transition of CRD tools and tasks to the new FINRA Gateway using real work scenarios.</p><p><a href="/filing-reporting/finra-gateway">FINRA Gateway Resources</a><br />Learn more about the developing system, current features, and future milestones.</p><p><a href="/filing-reporting/dxt/finra-gateway/release-notes">FINRA Gateway Release Notes</a><br />Find out about the latest enhancements and features implemented in the system.</p><p><a href="/events-training/webinars">FINRA Webinars</a><br />Attend and access resources from webinars detailing technology developments and their effects on registration compliance workflows.</p><hr /><div class="globalClearBoth"><h3 id="announcements" name="announcements">Announcements</h3><ul><li><a href="https://www.finra.org/registration-exams-ce/broker-dealers/annual-renewal"><strong>Annual Renewal Program</strong></a><br />Preliminary Statements and reports are available in FINRA systems, and full payment must be posted by Monday, Dec. 9. Ensure your firm’s obligations are addressed by taking the following steps: <br /> <ul><li>Download and save or print the firm’s Preliminary Statement from E-Bill. You can also initiate an ACH payment and set up relevant email notifications while logged in. </li><li>Download and save or print the Preliminary Statement reports in CRD and/or IARD before they are removed Jan. 2. </li><li>Pay the entire statement amount in full. Do not make partial payments; this will result in registration terminations and late fees. </li><li>Complete any registration adjustments before 6 p.m. ET on Dec. 26. You can use post-dated filings to request registration terminations effective Dec. 31. Any adjustments made between now and Dec. 26 will be reflected in the firm’s Final Statement published Jan. 2. <br /><br /> </li></ul></li><li><strong>System Release Notes</strong><br />View explanations of recent and upcoming system changes in the release notes linked below:<ul><li><a href="/sites/default/files/2023-12/CRED-2023-12-External-Release-Notes.pdf">Release 2023.12 (December 2023)</a><br /> </li></ul></li></ul></div></div> </div> </div> </div> </div> </div> <div role="tabpanel" class="tab-pane fade" id="rules"> <div class="field field--name-field-tab-content field--type-block-field field--label-hidden field__items"> <div class="field__item"><div class="views-element-container block block-views block-views-blocktopic-pages-by-industry-issue-block-2" id="block-views-block-topic-pages-by-industry-issue-block-2" data-block-plugin-id="views_block:topic_pages_by_industry_issue-block_2"> <div class="content"> <div><div class="view view-topic-pages-by-industry-issue view-id-topic_pages_by_industry_issue view-display-id-block_2 js-view-dom-id-46f22ce3cdd9ce7c393719bbf19b5229fccb69eca5dc4fe4bdbcd5c3c00dbe8c"> </div> </div> </div> </div> </div> </div> </div> <div role="tabpanel" class="tab-pane fade" id="notices"> <div class="field field--name-field-tab-content field--type-block-field field--label-hidden field__items"> <div class="field__item"><div class="views-element-container block block-views block-views-blocktopic-pages-by-industry-issue-block-1" id="block-views-block-topic-pages-by-industry-issue-block-1" data-block-plugin-id="views_block:topic_pages_by_industry_issue-block_1"> <div class="content"> <div><div class="view view-topic-pages-by-industry-issue view-id-topic_pages_by_industry_issue view-display-id-block_1 js-view-dom-id-058d5e1d1f82a312ecaffda7a9b2ceda2bd9270cc81c936c091dd47ebcd4c5fc"> <div class="view-content"> <div class="item-list"> <ul> <li><div class="views-field views-field-title"><span class="field-content"><a href="/rules-guidance/notices/24-14" hreflang="en">Regulatory Notice 24-14</a></span></div><div class="views-field views-field-field-notice-title-tx"><div class="field-content">Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2025</div></div><div class="views-field views-field-field-core-official-dt"><em class="field-content">10/31/2024</em></div></li> <li><div class="views-field views-field-title"><span class="field-content"><a href="/rules-guidance/notices/24-01" hreflang="en">Regulatory Notice 24-01</a></span></div><div class="views-field views-field-field-notice-title-tx"><div class="field-content">Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches</div></div><div class="views-field views-field-field-core-official-dt"><em class="field-content">01/02/2024</em></div></li> <li><div class="views-field views-field-title"><span class="field-content"><a href="/rules-guidance/notices/23-18" hreflang="en">Regulatory Notice 23-18</a></span></div><div class="views-field views-field-field-notice-title-tx"><div class="field-content">Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2024</div></div><div class="views-field views-field-field-core-official-dt"><em class="field-content">10/31/2023</em></div></li> <li><div class="views-field views-field-title"><span class="field-content"><a href="/rules-guidance/notices/22-01" hreflang="en">Regulatory Notice 22-01</a></span></div><div class="views-field views-field-field-notice-title-tx"><div class="field-content">Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches </div></div><div class="views-field views-field-field-core-official-dt"><em class="field-content">01/03/2022</em></div></li> <li><div class="views-field views-field-title"><span class="field-content"><a href="/rules-guidance/notices/21-39" hreflang="en">Regulatory Notice 21-39</a></span></div><div class="views-field views-field-field-notice-title-tx"><div class="field-content">Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2022</div></div><div class="views-field views-field-field-core-official-dt"><em class="field-content">10/29/2021</em></div></li> <li><div class="views-field views-field-title"><span class="field-content"><a href="/rules-guidance/notices/21-01" hreflang="en">Regulatory Notice 21-01</a></span></div><div class="views-field views-field-field-notice-title-tx"><div class="field-content">Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches </div></div><div class="views-field views-field-field-core-official-dt"><em class="field-content">01/04/2021</em></div></li> <li><div class="views-field views-field-title"><span class="field-content"><a href="/rules-guidance/notices/information-notice-062520" hreflang="en">Information Notice – 6/25/20</a></span></div><div class="views-field views-field-field-notice-title-tx"><div class="field-content">FINRA Gateway – Changes to Form U4 User Interface and Access to Continuing Education</div></div><div class="views-field views-field-field-core-official-dt"><em class="field-content">06/25/2020</em></div></li> <li><div class="views-field views-field-title"><span class="field-content"><a href="/rules-guidance/notices/20-01" hreflang="en">Regulatory Notice 20-01</a></span></div><div class="views-field views-field-field-notice-title-tx"><div class="field-content">Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches</div></div><div class="views-field views-field-field-core-official-dt"><em class="field-content">01/02/2020</em></div></li> <li><div class="views-field views-field-title"><span class="field-content"><a href="/rules-guidance/notices/19-01" hreflang="und">Regulatory Notice 19-01</a></span></div><div class="views-field views-field-field-notice-title-tx"><div class="field-content">Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches</div></div><div class="views-field views-field-field-core-official-dt"><em class="field-content">01/02/2019</em></div></li> <li><div class="views-field views-field-title"><span class="field-content"><a href="/rules-guidance/notices/18-37" hreflang="und">Regulatory Notice 18-37</a></span></div><div class="views-field views-field-field-notice-title-tx"><div class="field-content">Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2019</div></div><div class="views-field views-field-field-core-official-dt"><em class="field-content">10/31/2018</em></div></li> <li><div class="views-field views-field-title"><span class="field-content"><a href="/rules-guidance/notices/information-notice-092418" hreflang="und">Information Notice – 9/24/18</a></span></div><div class="views-field views-field-field-notice-title-tx"><div class="field-content">Presentation Changes and New Functionality in the Central Registration Depository (CRD) System</div></div><div class="views-field views-field-field-core-official-dt"><em class="field-content">09/24/2018</em></div></li> <li><div class="views-field views-field-title"><span class="field-content"><a href="/rules-guidance/notices/18-01" hreflang="und">Regulatory Notice 18-01</a></span></div><div class="views-field views-field-field-notice-title-tx"><div class="field-content">Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches</div></div><div class="views-field views-field-field-core-official-dt"><em class="field-content">01/02/2018</em></div></li> <li><div class="views-field views-field-title"><span class="field-content"><a href="/rules-guidance/notices/17-35" hreflang="und">Regulatory Notice 17-35</a></span></div><div class="views-field views-field-field-notice-title-tx"><div class="field-content">Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2018 Payment Deadline: December 18, 2017</div></div><div class="views-field views-field-field-core-official-dt"><em class="field-content">10/31/2017</em></div></li> <li><div class="views-field views-field-title"><span class="field-content"><a href="/rules-guidance/notices/17-01" hreflang="und">Regulatory Notice 17-01</a></span></div><div class="views-field views-field-field-notice-title-tx"><div class="field-content">Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches</div></div><div class="views-field views-field-field-core-official-dt"><em class="field-content">01/03/2017</em></div></li> <li><div class="views-field views-field-title"><span class="field-content"><a href="/rules-guidance/notices/16-42" hreflang="und">Regulatory Notice 16-42</a></span></div><div class="views-field views-field-field-notice-title-tx"><div class="field-content">Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2017</div></div><div class="views-field views-field-field-core-official-dt"><em class="field-content">11/01/2016</em></div></li> <li><div class="views-field views-field-title"><span class="field-content"><a href="/rules-guidance/notices/16-01" hreflang="und">Regulatory Notice 16-01</a></span></div><div class="views-field views-field-field-notice-title-tx"><div class="field-content">Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches</div></div><div class="views-field views-field-field-core-official-dt"><em class="field-content">01/04/2016</em></div></li> <li><div class="views-field views-field-title"><span class="field-content"><a href="/rules-guidance/notices/15-40" hreflang="und">Regulatory Notice 15-40</a></span></div><div class="views-field views-field-field-notice-title-tx"><div class="field-content">Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2016</div></div><div class="views-field views-field-field-core-official-dt"><em class="field-content">10/26/2015</em></div></li> <li><div class="views-field views-field-title"><span class="field-content"><a href="/rules-guidance/notices/15-01" hreflang="und">Regulatory Notice 15-01</a></span></div><div class="views-field views-field-field-notice-title-tx"><div class="field-content">Final Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches</div></div><div class="views-field views-field-field-core-official-dt"><em class="field-content">01/02/2015</em></div></li> <li><div class="views-field views-field-title"><span class="field-content"><a href="/rules-guidance/notices/14-31" hreflang="und">Regulatory Notice 14-31</a></span></div><div class="views-field views-field-field-notice-title-tx"><div class="field-content">SEC Approves FINRA Rule 2081 Regarding Prohibited Conditions Relating to Expungement of Customer Dispute Information</div></div><div class="views-field views-field-field-core-official-dt"><em class="field-content">07/30/2014</em></div></li> </ul> </div> </div> </div> </div> </div> </div> </div> </div> </div> <div role="tabpanel" class="tab-pane fade" id="guidance"> <div class="field field--name-field-tab-content field--type-block-field field--label-hidden field__items"> <div class="field__item"><div class="views-element-container block block-views block-views-blocktopic-pages-by-industry-issue-block-3" id="block-views-block-topic-pages-by-industry-issue-block-3" data-block-plugin-id="views_block:topic_pages_by_industry_issue-block_3"> <div class="content"> <div><div class="view view-topic-pages-by-industry-issue view-id-topic_pages_by_industry_issue view-display-id-block_3 js-view-dom-id-7eb2c1a06a599f4cf86d28e0176eecfbce0d0f1d750f473f3f20048beb73f62c"> <div class="view-content"> <div class="item-list"> <ul> <li><div class="views-field views-field-field-core-content-type-tax"><strong class="field-content">FAQ</strong></div><div class="views-field views-field-title"><span class="field-content"><a href="/rules-guidance/guidance/faqs/expungement-and-finra-rule-2080-faqs" hreflang="en">Frequently Asked Questions about FINRA Rule 2080 (Expungement)</a></span></div><div class="views-field views-field-body"><div class="field-content">The following questions and answers provide guidance regarding the operation of FINRA Rule 2080, which was formerly NASD Rule 2130.</div></div><div class="views-field views-field-field-core-official-dt"><em class="field-content">October 12, 2023</em></div></li> <li><div class="views-field views-field-field-core-content-type-tax"><strong class="field-content">Compliance Tools</strong></div><div class="views-field views-field-title"><span class="field-content"><a href="/filing-reporting/finra-gateway/dynamic-reporting" hreflang="en">FINRA Gateway Reports</a></span></div><div class="views-field views-field-body"><div class="field-content">FINRA Gateway Reports, previously referred to as Dynamic Reporting, helps firm staff answer common questions and make informed decisions using FINRA data. Choose from templates for firm, branch, individual, or filing data to create your own custom reports.</div></div><div class="views-field views-field-field-core-official-dt"><em class="field-content">October 04, 2019</em></div></li> <li><div class="views-field views-field-field-core-content-type-tax"><strong class="field-content">Podcast</strong></div><div class="views-field views-field-title"><span class="field-content"><a href="/media-center/finra-unscripted/crd-transformation-enhancing-registration-disclosure-process" hreflang="en">CRD Transformation: Enhancing the Registration & Disclosure Process </a></span></div><div class="views-field views-field-body"><div class="field-content"> Twenty 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. </div></div><div class="views-field views-field-field-core-official-dt"><em class="field-content">March 05, 2019</em></div></li> <li><div class="views-field views-field-field-core-content-type-tax"><strong class="field-content">Guidance</strong></div><div class="views-field views-field-title"><span class="field-content"><a href="/registration-exams-ce/broker-dealers/annual-renewal/report-guide" hreflang="und">Firm Renewal Report Guide</a></span></div><div class="views-field views-field-body"><div class="field-content"><p class="field-item-date">The information provided in this job aid is intended to serve as a reference for firms to determine the annual renewal fees charged per registered individual as listed on the Renewals – Firm Renewal Report and Download.<sup><a href="#_ftn1" name="_ftnref1" title="" id="_ftnref1">1</a></sup></p> <p>When requesting the Renewals – Firm Renewal Report and Download, select the ‘Yes’ option in answer to ‘Generate Zipped CSV file?’ parameter.</p></div></div><div class="views-field views-field-field-core-official-dt"><em class="field-content">December 07, 2018</em></div></li> <li><div class="views-field views-field-field-core-content-type-tax"><strong class="field-content">Guidance</strong></div><div class="views-field views-field-title"><span class="field-content"><a href="/registration-exams-ce/classic-crd/protecting-personal-information-registration-form-filings" hreflang="und">Protecting Personal Information in Registration Form Filings</a></span></div><div class="views-field views-field-body"><div class="field-content"><p>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.</p></div></div><div class="views-field views-field-field-core-official-dt"><em class="field-content">January 11, 2018</em></div></li> <li><div class="views-field views-field-field-core-content-type-tax"><strong class="field-content">FAQ</strong></div><div class="views-field views-field-title"><span class="field-content"><a href="/registration-exams-ce/classic-crd/web-eft/frequently-asked-questions" hreflang="und">Web EFT Frequently Asked Questions</a></span></div><div class="views-field views-field-body"><div class="field-content">Web EFT Frequently Asked Questions</div></div><div class="views-field views-field-field-core-official-dt"><em class="field-content">September 11, 2015</em></div></li> <li><div class="views-field views-field-field-core-content-type-tax"><strong class="field-content">Guidance</strong></div><div class="views-field views-field-title"><span class="field-content"><a href="/registration-exams-ce/classic-crd/active-military-leave-guidance" hreflang="und">Active Military Leave Guidance</a></span></div><div class="views-field views-field-body"><div class="field-content">FINRA provides registration and licensing relief to FINRA-registered persons and certain formerly registered persons who volunteer or are called into active military duty.</div></div><div class="views-field views-field-field-core-official-dt"><em class="field-content"></em></div></li> <li><div class="views-field views-field-field-core-content-type-tax"><strong class="field-content">FAQ</strong></div><div class="views-field views-field-title"><span class="field-content"><a href="/registration-exams-ce/classic-crd/faq/form-filing-firms" hreflang="en">CRD - FAQ - Form Filing for Firms</a></span></div><div class="views-field views-field-body"><div class="field-content">1. How do I submit form filings to Web CRD? Upon completion of a filing...</div></div><div class="views-field views-field-field-core-official-dt"><em class="field-content"></em></div></li> <li><div class="views-field views-field-field-core-content-type-tax"><strong class="field-content">FAQ</strong></div><div class="views-field views-field-title"><span class="field-content"><a href="/registration-exams-ce/classic-crd/faq/queues" hreflang="en">CRD - FAQ - Queues</a></span></div><div class="views-field views-field-body"><div class="field-content">1. What is meant by a "Queue?" A Queue is an online electronic listing...</div></div><div class="views-field views-field-field-core-official-dt"><em class="field-content"></em></div></li> <li><div class="views-field views-field-field-core-content-type-tax"><strong class="field-content">FAQ</strong></div><div class="views-field views-field-title"><span class="field-content"><a href="/registration-exams-ce/classic-crd/faq/transactions" hreflang="en">CRD - FAQ CRD Transactions</a></span></div><div class="views-field views-field-body"><div class="field-content">Understanding Your FINRA Flex-Funding Account</div></div><div class="views-field views-field-field-core-official-dt"><em class="field-content"></em></div></li> <li><div class="views-field views-field-field-core-content-type-tax"><strong class="field-content">FAQ</strong></div><div class="views-field views-field-title"><span class="field-content"><a href="/registration-exams-ce/classic-crd/faq/form-filing-individuals" hreflang="en">CRD - FAQ Form Filing for Individuals</a></span></div><div class="views-field views-field-body"><div class="field-content">CRD - FAQ Form Filing for Individuals</div></div><div class="views-field views-field-field-core-official-dt"><em class="field-content"></em></div></li> <li><div class="views-field views-field-field-core-content-type-tax"><strong class="field-content">FAQ</strong></div><div class="views-field views-field-title"><span class="field-content"><a href="/registration-exams-ce/classic-crd/faq/disclosure" hreflang="und">CRD FAQ - Disclosure</a></span></div><div class="views-field views-field-body"><div class="field-content">CRD FAQ - Form Filing for Individuals - Disclosure</div></div><div class="views-field views-field-field-core-official-dt"><em class="field-content"></em></div></li> <li><div class="views-field views-field-field-core-content-type-tax"><strong class="field-content">FAQ</strong></div><div class="views-field views-field-title"><span class="field-content"><a href="/registration-exams-ce/classic-crd/faq/dually-registered-representatives-andor-ia-representatives-affiliated-firms" hreflang="und">CRD FAQ - Dually Registered Representatives and/or IA Representatives of Affiliated Firms</a></span></div><div class="views-field views-field-body"><div class="field-content">1. 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.</div></div><div class="views-field views-field-field-core-official-dt"><em class="field-content"></em></div></li> <li><div class="views-field views-field-field-core-content-type-tax"><strong class="field-content">FAQ</strong></div><div class="views-field views-field-title"><span class="field-content"><a href="/registration-exams-ce/classic-crd/faq/general" hreflang="en">CRD FAQ - General</a></span></div><div class="views-field views-field-body"><div class="field-content">1. 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.</div></div><div class="views-field views-field-field-core-official-dt"><em class="field-content"></em></div></li> <li><div class="views-field views-field-field-core-content-type-tax"><strong class="field-content">FAQ</strong></div><div class="views-field views-field-title"><span class="field-content"><a href="/registration-exams-ce/classic-crd/faq/general-registered-representative-ag" hreflang="und">CRD FAQ - General Registered Representative (AG)</a></span></div><div class="views-field views-field-body"><div class="field-content"><p><strong>1. How do I submit form filings to CRD?</strong></p></div></div><div class="views-field views-field-field-core-official-dt"><em class="field-content"></em></div></li> <li><div class="views-field views-field-field-core-content-type-tax"><strong class="field-content">FAQ</strong></div><div class="views-field views-field-title"><span class="field-content"><a href="/registration-exams-ce/classic-crd/faq/qualifications" hreflang="und">CRD FAQ - Qualifications</a></span></div><div class="views-field views-field-body"><div class="field-content"><p><strong>1. Where can I access a list describing the exams listed in CRD?</strong></p> <p>A listing of the exams available in CRD can be found on the <a href="/industry/qualification-exams">Qualification Exams</a> page.</p> <p><strong>2. How long is an exam window in CRD?</strong></p> <p>Exam windows are valid for 120 days. Provided that an exam candidate is not subject to a waiting period after a previous failed attempt, the exam window start date will be the day following the submission of the exam enrollment request.</p></div></div><div class="views-field views-field-field-core-official-dt"><em class="field-content"></em></div></li> <li><div class="views-field views-field-field-core-content-type-tax"><strong class="field-content">FAQ</strong></div><div class="views-field views-field-title"><span class="field-content"><a href="/registration-exams-ce/classic-crd/faq/reports" hreflang="en">CRD FAQ - Reports</a></span></div><div class="views-field views-field-body"><div class="field-content">1. What are some tips for printing PDF Reports? To print reports in Portrait format...</div></div><div class="views-field views-field-field-core-official-dt"><em class="field-content"></em></div></li> <li><div class="views-field views-field-field-core-content-type-tax"><strong class="field-content">Compliance Tools</strong></div><div class="views-field views-field-title"><span class="field-content"><a href="/node/66241" hreflang="und">Disclosure Report Cards</a></span></div><div class="views-field views-field-body"><div class="field-content">Reports published for firms to monitor their performance in reporting disclosure and non-disclosure events and CRD late filing fee information.</div></div><div class="views-field views-field-field-core-official-dt"><em class="field-content"></em></div></li> <li><div class="views-field views-field-field-core-content-type-tax"><strong class="field-content">FAQ</strong></div><div class="views-field views-field-title"><span class="field-content"><a href="/registration-exams-ce/classic-crd/duplicate-disclosure-interpretive-guidance-faq" hreflang="und">Duplicate Disclosure Interpretive Guidance - FAQ</a></span></div><div class="views-field views-field-body"><div class="field-content"><p><strong>Q. What is a duplicate disclosure and how is a duplicate disclosure created?</strong></p></div></div><div class="views-field views-field-field-core-official-dt"><em class="field-content"></em></div></li> <li><div class="views-field views-field-field-core-content-type-tax"><strong class="field-content">FAQ</strong></div><div class="views-field views-field-title"><span class="field-content"><a href="/filing-reporting/e-bill/faq" hreflang="en">E-Bill Frequently Asked Questions (FAQ)</a></span></div><div class="views-field views-field-body"><div class="field-content">1. 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.</div></div><div class="views-field views-field-field-core-official-dt"><em class="field-content"></em></div></li> <li><div class="views-field views-field-field-core-content-type-tax"><strong class="field-content">FAQ</strong></div><div class="views-field views-field-title"><span class="field-content"><a href="/filing-reporting/entitlement/faq" hreflang="en">FINRA Entitlement Program Frequently Asked Questions</a></span></div><div class="views-field views-field-body"><div class="field-content">The following FAQ address general Entitlement questions. For detailed information, refer to the website specific to each user group...</div></div><div class="views-field views-field-field-core-official-dt"><em class="field-content"></em></div></li> <li><div class="views-field views-field-field-core-content-type-tax"><strong class="field-content">FAQ</strong></div><div class="views-field views-field-title"><span class="field-content"><a href="/registration-exams-ce/classic-crd/faq/registration/crd/faq/rule-4530" hreflang="en">FINRA Rule 4530 – CRD Form U4 Frequently Asked Questions (FAQ)</a></span></div><div class="views-field views-field-body"><div class="field-content"><p>For detailed information regarding amendments to FINRA Rule 4530, please see <a href="/rules-guidance/notices/13-08"><em>Regulatory Notice 13-08</em></a>.</p></div></div><div class="views-field views-field-field-core-official-dt"><em class="field-content"></em></div></li> <li><div class="views-field views-field-field-core-content-type-tax"><strong class="field-content">FAQ</strong></div><div class="views-field views-field-title"><span class="field-content"><a href="/registration-exams-ce/classic-crd/faq/branch-office-registration" hreflang="en">Frequently Asked Questions about Branch Office Registration</a></span></div><div class="views-field views-field-body"><div class="field-content">1. 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 FINRA Gateway with FINRA, the New York Stock Exchange, Inc. (NYSE) and other participating jurisdictions. </div></div><div class="views-field views-field-field-core-official-dt"><em class="field-content"></em></div></li> <li><div class="views-field views-field-field-core-content-type-tax"><strong class="field-content">FAQ</strong></div><div class="views-field views-field-title"><span class="field-content"><a href="/registration-exams-ce/classic-crd/faq" hreflang="en">Frequently Asked Questions about the Central Registration Depository (CRD)</a></span></div><div class="views-field views-field-body"><div class="field-content">The following frequently asked questions provide information about the Central Registration Depository (CRD).</div></div><div class="views-field views-field-field-core-official-dt"><em class="field-content"></em></div></li> <li><div class="views-field views-field-field-core-content-type-tax"><strong class="field-content">FAQ</strong></div><div class="views-field views-field-title"><span class="field-content"><a href="/registration-exams-ce/classic-crd/faq/late-disclosure-fee" hreflang="en">Late Disclosure Fee Frequently Asked Questions</a></span></div><div class="views-field views-field-body"><div class="field-content"><p>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.</p></div></div><div class="views-field views-field-field-core-official-dt"><em class="field-content"></em></div></li> <li><div class="views-field views-field-field-core-content-type-tax"><strong class="field-content">FAQ</strong></div><div class="views-field views-field-title"><span class="field-content"><a href="/registration-exams-ce/broker-dealers/annual-renewal/faq" hreflang="und">Renewal Program FAQ</a></span></div><div class="views-field views-field-body"><div class="field-content">The following are frequently asked questions (FAQ) regarding renewals that are applicable to broker-dealer (BD) firms. 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