FINRA's CRD Simultaneous Form Filing Program allows a "simultaneous filing group" or "SFG" (i.e., two or more FINRA member firms under substantially the same common ownership or control) to submit a single Form U4 (and single fingerprint card) or Form U5 to register or terminate an individual, respectively, with that SFG for a single processing fee. To obtain the benefits
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to exempt certain business development companies (“BDCs”) from FINRA Rule 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and from paragraph (b) (Spinning) of FINRA Rule 5131 (New Issue Allocations and
SIPC MaterialsSecurities Investor Protection Corporation (SIPC) publication and member identification materials can be purchased on the Media Source webstore.Fingerprinting Materials If you need a supply of fingerprint cards, FINRA-specific fingerprint cardstock may be purchased from Sterling for $14.00 (includes 25 cards with shipping & handling). To order FINRA-specific
Industry Governor (Large Firm Representative)Chief Operating Officer, Raymond James Financial Governor Since 2023Committees: Conflicts Committee (Chair), Executive Committee (Chair), Finance, Operations & Technology Committee (Chair), Regulatory Policy Committee (ex officio)Professional ExperienceRaymond James Financial Chief Operating Officer (2024 – present)President
About FINRAFINRA is a not-for-profit organization authorized by Congress that is dedicated to protecting investors and ensuring market integrity. It regulates one critical part of the securities industry—member brokerage firms doing business in the U.S.FINRA, overseen by the SEC, writes rules, examines for and enforces compliance with FINRA rules and federal securities laws, registers broker-
On This PageFAQ Applicable to FINRA's Fingerprint ProcessFAQ Applicable to All FirmsFAQ Applicable to Broker-Dealers FirmsFAQ Applicable to Funding PortalsFAQ Applicable to Investment AdvisersFAQ Applicable to FINRA’s Fingerprint ProcessQ1: Which firm personnel are required to be fingerprinted?A1: Pursuant to Section 17(f)(2) of the Securities Exchange Act of 1934, (15 USC 78q(f)(2)),&
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.
1. 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.
1. How do I submit form filings to Web CRD?
Upon completion of a filing...
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.Personal Information RequiredAs a matter of
