(a) Requirements for Public Offerings(1) General (A) No member or person associated with a member shall participate in a public offering in which the terms and conditions relating thereto, including the aggregate amount of underwriting compensation, are unfair or unreasonable pursuant to this Rule or inconsistent with any By-Law or any rule or regulation of FINRA.(B) Any member acting as
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 Web CRD system facilitates the collection and disbursement of fees associated with filings processed through the system. The links available on this Web Page provide important information on registration-related fees and payments, as well as guidance with the CRD Accounting functionality.
Tips, system visual aids, user manuals, and other tools that should aid smaller member firms in the usage of Web CRD System-related registration activities
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 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 frequently asked questions provide information about the Central Registration Depository (CRD).
You can easily download forms found below related to CRD or BrokerCheck.If you do not have Adobe® Acrobat Reader to view PDF files, please download the free plug-in. Please note, in order to enter text into the fields of these PDF forms, you will need Adobe Acrobat Reader DC or higher.Instructions for adding text to the PDF forms when using Adobe Reader DCOpen the PDF file.Click on “Comment” to
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
