CRD Payment Methods and Addresses
The following frequently asked questions provide information about the Central Registration Depository (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.
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
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
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
If your firm feels that FINRA has assessed a fee in error, your firm can open a case through one of these three channels.
Broker-dealers that recommend or sell private placements have additional requirements under FINRA and SEC rules. These requirements include:Filing certain offering documentsEnsuring the suitability of any investments they recommendFiling RequirementsTwo FINRA rules require firms to file certain offering documents and information about the issuer, the offering terms, and the firms selling the
