CRD Quick Reference Guides
See How We Are Integrating CRD Into the New FINRA Gateway
FINRA is working on a new FINRA Gateway system that will be intuitive, flexible and efficient to make it easier for firms and their associated persons to fulfill their compliance obligations.
Firms
- CRD At A Glance For Firms
- Firm Notification
- Firm Queues for Individuals
- Firm Queues for Organizations
- Form BD
- Form BR
- Form CRS (BD-Only Firms)
- Form NRF
- Form U4
- Form U5
- LEP Request
- Registration Deficiency Tracking Program
- Reports
- View Individual
- View Organization
Regulators
- Regulator E-Bill User Guide (Video)
- Regulator E-Bill User Guide
- NASAA Training Guide Web CRD & IARD Filing Process
- NASAA Training Guide Web CRD 101
- NASAA Training Guide Web CRD 201
- Jurisdiction Queues for Individuals
- Jurisdiction/SRO Branch Registration
- Jurisdiction/SRO Branch Withdrawal/Closing Review Method
- Jurisdiction/SRO Queues for Organizations
- Regulator Form U6 Filing
- Regulator Notifications
- SEC Queues for Organizations
- SRO Queues for Individuals
- SRO Web CRD Basics (Video)
All Users
If you are a joint broker-dealer/investment adviser (BD/IA) firm, there are also IARD System Quick Reference Guides available.