The AG position is the designation used in Form U4 as part of the CRD Program to identify a person who has been approved to sell securities in a particular jurisdiction. Many states require qualification by examination for this position; however, the qualification requirements vary between jurisdictions. The North American Securities Administrators Association (NASAA), after consultation with
This User Support page provides links to help and training resources for users of Web CRD.
The honors program is a two-year rotational program open to recent law school graduates and attorneys concluding clerkships. These full-time positions offer the opportunity to do sophisticated legal work to protect investors and the financial markets.
The following links should be helpful when filing online for your firm and associated individuals:CRD System and Related LinksElectronic Fingerprint ProcessingElectronic Fingerprint Submission (EFS)Filing Guidance Related to Registration FormsCurrent Uniform Registration Forms for Electronic Filing in CRD (U4, U5, U6, BR, BD, and BDW)Investment Adviser Representative (RA) Form Filing
Relationship investment scams involving crypto assets, also sometimes referred to as "pig butchering" scams, cost consumers billions of dollars. Learn how these scams work and protective steps investors can take.
The 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,
Firms are required annually to renew their FINRA, other self-regulatory organization (SRO) and state/jurisdiction registrations through the annual Renewal Program, which begins in the fourth quarter of each year.
Web EFT Frequently Asked Questions
CRD Renewal Program Payment Options
A listing of general registration, membership, fingerprint processing, qualification examination fees.
