Central Registration Depository (CRD)
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. The registration filing requirements of the CRD program are being integrated into FINRA's compliance portal, FINRA Gateway.
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, BrokerCheck.
On This Page:
CRD
Pay Fees
Learn more about the processing and payment of registration, examination and filing fees related to the CRD program.
Registration Forms
Every firm, branch and individual registration form now has a dedicated page with consolidated system and compliance information.
Training & Support
Access job aids, training and other resources relevant to CRD.
Frequently Asked Questions
View frequently asked questions about the CRD system and program.
Filing Guidance and Policy
Find guidance on topics such as Forms U4 and U5, FINRA Rule 2080, FINRA Rule 4530 and late disclosure filings.
Download Forms
Download Uniform Registration forms and forms related to BrokerCheck.
Web EFT
Learn more about batch-filing Forms U4, U5, BR and NRF using Electronic File Transfer (Web EFT).
Annual Renewal Program
Find information about the annual requirement to renew registration with FINRA, other SROs, and all appropriate jurisdictions.
FINRA Webinars
Attend and access resources from webinars detailing technology developments and their effects on registration compliance workflows.
Announcements
- Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 202510/31/2024
- Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches01/02/2024
- Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 202410/31/2023
- Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches01/03/2022
- Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 202210/29/2021
- Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches01/04/2021
- FINRA Gateway – Changes to Form U4 User Interface and Access to Continuing Education06/25/2020
- Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches01/02/2020
- Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches01/02/2019
- Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 201910/31/2018
- Presentation Changes and New Functionality in the Central Registration Depository (CRD) System09/24/2018
- Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches01/02/2018
- Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2018 Payment Deadline: December 18, 201710/31/2017
- Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches01/03/2017
- Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 201711/01/2016
- Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches01/04/2016
- Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 201610/26/2015
- Final Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches01/02/2015
- SEC Approves FINRA Rule 2081 Regarding Prohibited Conditions Relating to Expungement of Customer Dispute Information07/30/2014
- FAQThe following questions and answers provide guidance regarding the operation of FINRA Rule 2080, which was formerly NASD Rule 2130.October 12, 2023
- Compliance ToolsFINRA 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.October 04, 2019
- PodcastTwenty 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.March 05, 2019
- Guidance
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.1
When requesting the Renewals – Firm Renewal Report and Download, select the ‘Yes’ option in answer to ‘Generate Zipped CSV file?’ parameter.
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 - FAQWeb EFT Frequently Asked QuestionsSeptember 11, 2015
- GuidanceFINRA provides registration and licensing relief to FINRA-registered persons and certain formerly registered persons who volunteer or are called into active military duty.
- Compliance ToolsReports published for firms to monitor their performance in reporting disclosure and non-disclosure events and CRD late filing fee information.
- FAQ1. 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.
- FAQThe following FAQ address general Entitlement questions. For detailed information, refer to the website specific to each user group...
- FAQ
For detailed information regarding amendments to FINRA Rule 4530, please see Regulatory Notice 13-08.
- FAQ1. 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.
- FAQ1. What is meant by a "Queue?" A Queue is an online electronic listing...
- FAQ1. What are some tips for printing PDF Reports? To print reports in Portrait format...
- FAQCRD FAQ - Form Filing for Individuals - Disclosure
- FAQ1. 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.
- FAQ1. How do I submit form filings to Web CRD? Upon completion of a filing...
- FAQCRD - FAQ Form Filing for Individuals
- FAQ
1. How do I submit form filings to CRD?
- 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 uses. FINRA also uses the information in BrokerCheck, which investors use for researching the professional backgrounds of firms and brokers.
- FAQ
1. Where can I access a list describing the exams listed in CRD?
A listing of the exams available in CRD can be found on the Qualification Exams page.
2. How long is an exam window in CRD?
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.
- FAQThe following frequently asked questions provide information about the Central Registration Depository (CRD).
- FAQUnderstanding Your FINRA Flex-Funding Account
- FAQ
Q. What is a duplicate disclosure and how is a duplicate disclosure created?
- FAQ1. What is the URL for CRD? FINRA recommends that FINRA-registered firms access CRD through the Firm Gateway. This site will allow you to access CRD as well as other FINRA applications. The Firm Gateway is located at https://firms.finra.org.
- FAQThe following are frequently asked questions (FAQ) regarding renewals that are applicable to broker-dealer (BD) firms. If your firm is a joint broker-dealer/investment adviser (BD/IA) firm,
- Compliance Tools
The Web CRD Form BD Timeliness Report Card is a monthly analysis of FINRA firms' ability to meet certain filing obligations. In accordance with FINRA rules, firms are required to submit information related to applicant member and/or affiliate(s). This report displays a firm's performance in submitting certain BD amendment filings in the required time frame.
- Compliance Tools
The Web CRD Late Filing Fee Report is a monthly analysis of FINRA firms' ability to meet certain filing obligations. In accordance with FINRA rules, firms are required to submit information related to registered representatives. This report displays a firm's performance in submitting certain U4 and U5 filings in the required time frame.