Central Registration Depository
E22978
The Central Registration Depository is a centralized online database that stores licensing and registration information for broker-dealers and their associated individuals in the U.S. securities industry.
Observed surface forms (1)
| Surface form | Occurrences |
|---|---|
| FINRA Central Registration Depository | 1 |
Statements (47)
| Predicate | Object |
|---|---|
| instanceOf |
online database
ⓘ
regulatory information system ⓘ securities industry registration database ⓘ |
| abbreviation | CRD ⓘ |
| accessMethod | online ⓘ |
| containsInformationOn |
arbitration cases
ⓘ
associated persons of broker-dealers ⓘ broker-dealer firms ⓘ civil and criminal events related to securities activities ⓘ customer complaints ⓘ disciplinary history of registered persons ⓘ employment history of registered persons ⓘ examination results ⓘ regulatory actions ⓘ securities industry licenses ⓘ securities industry registrations ⓘ |
| country |
United States of America
ⓘ
surface form:
United States
|
| dataModelIncludes |
Form BD
ⓘ
Form U4 ⓘ Form U5 ⓘ |
| dataSubmittedBy |
broker-dealer firms
ⓘ
registered individuals ⓘ regulators ⓘ |
| maintainedBy | FINRA Technology Department ⓘ |
| operator | Financial Industry Regulatory Authority ⓘ |
| operatorAbbreviation | FINRA ⓘ |
| purpose |
to store licensing and registration information for broker-dealers and associated individuals
ⓘ
to support regulation of the U.S. securities industry ⓘ |
| regulatoryFramework |
FINRA rules
ⓘ
U.S. federal securities laws ⓘ state securities laws ⓘ |
| relatedTo | Investment Adviser Registration Depository ⓘ |
| relatedToAbbreviation | IARD ⓘ |
| scope | national U.S. system ⓘ |
| sector | securities industry ⓘ |
| supportsProcess |
amendment of registrations
ⓘ
initial registration of broker-dealers ⓘ regulatory disclosures ⓘ termination of registrations ⓘ |
| supportsSystem | BrokerCheck ⓘ |
| usedBy |
FINRA member firms
ⓘ
U.S. securities regulators ⓘ broker-dealers ⓘ investment adviser representatives ⓘ registered representatives ⓘ self-regulatory organizations ⓘ state securities regulators ⓘ |
Referenced by (2)
Full triples — surface form annotated when it differs from this entity's canonical label.
this entity surface form:
FINRA Central Registration Depository