云南快乐十分胆拖复式金额表

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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.

云南快乐十分胆拖复式金额表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

云南快乐十分胆拖复式金额表tips, system visual aids, user manuals, and other tools to help small firms in using web crd


Announcements


  • 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 . 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:
  • 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
  • Guidance

    december 7, 2018

    Renewal – Firm Renewal Report and Download1The 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.1

    December 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
    Monitor a firm's performance in reporting disclosure and non-disclosure events and Web CRD late filing fee information.
    October 25, 2016
  • 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?

  • FAQ
    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.
  • Guidance
    FINRA provides registration and licensing relief to FINRA-registered persons and certain formerly registered persons who volunteer or are called into active military duty.
  • FAQ
    Understanding Your FINRA Flex-Funding Account
  • FAQ
    CRD - FAQ Form Filing for Individuals
  • FAQ
    1. What are some tips for printing PDF Reports? To print reports in Portrait format...
  • FAQ
    The following FAQs address general Entitlement questions. For detailed information, refer to the website specific to each user group...
  • FAQ
    The following frequently asked questions provide information about the Central Registration Depository (CRD).
  • FAQ
    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 Web CRD® with FINRA, the New York Stock Exchange, Inc. (NYSE) and other participating jurisdictions.
  • FAQ
    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 http://firms.hsdllkc.cn.
  • 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.

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