FINRA CRD
E512104
FINRA CRD is a centralized online database maintained by the Financial Industry Regulatory Authority that stores registration and licensing information for broker-dealers and their associated individuals in the U.S.
All labels observed (2)
| Label | Occurrences |
|---|---|
| FINRA CRD canonical | 1 |
| FINRA CRD system | 1 |
How this entity was disambiguated
This entity first appeared as the object of triple T5340635 — resolving that mention is where its identity was fixed. The disambiguator weighed these candidate entities and picked the highlighted one (or “None”, minting a new entity). This is how homonymy is resolved: the same surface form can point to different entities.
NED1
Entity disambiguation (via context triple)
gpt-5-mini-2025-08-07
Target entity: FINRA CRD Context triple: [IARD, relatedSystem, FINRA CRD]
-
A.
FINRA
FINRA is a U.S. self-regulatory organization that oversees brokerage firms and exchange markets to protect investors and maintain market integrity.
-
B.
Investment Adviser Registration Depository
The Investment Adviser Registration Depository (IARD) is an electronic filing system operated by FINRA that facilitates the registration, filing, and public disclosure of information about investment advisers in the United States.
-
C.
EDGAR
EDGAR is the U.S. Securities and Exchange Commission’s electronic filing system that provides public access to corporate financial and disclosure documents.
-
D.
FINRA Arbitration Forum
The FINRA Arbitration Forum is a dispute resolution venue where investors and financial firms resolve securities-related conflicts through arbitration and mediation overseen by the Financial Industry Regulatory Authority.
-
E.
FINRA Code of Arbitration Procedure
The FINRA Code of Arbitration Procedure is a set of rules established by the Financial Industry Regulatory Authority that governs how disputes between investors, brokers, and brokerage firms are resolved through arbitration.
- F. None of above. chosen
- G. Unsure - the case is ambiguous/there is not enough information to decide.
NED2
Entity disambiguation (via description)
gpt-5-mini-2025-08-07
Target entity: FINRA CRD Target entity description: FINRA CRD is a centralized online database maintained by the Financial Industry Regulatory Authority that stores registration and licensing information for broker-dealers and their associated individuals in the U.S.
-
A.
FINRA
FINRA is a U.S. self-regulatory organization that oversees brokerage firms and exchange markets to protect investors and maintain market integrity.
-
B.
Investment Adviser Registration Depository
The Investment Adviser Registration Depository (IARD) is an electronic filing system operated by FINRA that facilitates the registration, filing, and public disclosure of information about investment advisers in the United States.
-
C.
EDGAR
EDGAR is the U.S. Securities and Exchange Commission’s electronic filing system that provides public access to corporate financial and disclosure documents.
-
D.
FINRA Arbitration Forum
The FINRA Arbitration Forum is a dispute resolution venue where investors and financial firms resolve securities-related conflicts through arbitration and mediation overseen by the Financial Industry Regulatory Authority.
-
E.
FINRA Code of Arbitration Procedure
The FINRA Code of Arbitration Procedure is a set of rules established by the Financial Industry Regulatory Authority that governs how disputes between investors, brokers, and brokerage firms are resolved through arbitration.
- F. None of above. chosen
Statements (50)
| Predicate | Object |
|---|---|
| instanceOf |
centralized registration system
ⓘ
regulatory database ⓘ |
| accessMethod |
online system
ⓘ
web-based interface for firms and regulators ⓘ |
| acronym | CRD NERFINISHED ⓘ |
| country |
United States of America
ⓘ
surface form:
United States
|
| dataType |
SRO registrations
ⓘ
business addresses of firms and individuals ⓘ disciplinary history of registered persons ⓘ disclosure events ⓘ employment history of registered persons ⓘ examination results ⓘ licensing records ⓘ registration records ⓘ state registrations ⓘ |
| feedsDataTo | BrokerCheck NERFINISHED ⓘ |
| fullName | Central Registration Depository NERFINISHED ⓘ |
| governedBy |
FINRA rules
NERFINISHED
ⓘ
federal securities laws ⓘ state securities laws ⓘ |
| hasComponent |
firm CRD records
ⓘ
individual CRD records ⓘ |
| hasUserInterfaceFor |
member firms
ⓘ
regulators ⓘ |
| industry | securities industry ⓘ |
| jurisdiction | U.S. securities industry ⓘ |
| maintainedBy |
FINRA
NERFINISHED
ⓘ
Financial Industry Regulatory Authority NERFINISHED ⓘ |
| primaryPurpose |
store licensing information for associated individuals
ⓘ
store licensing information for broker-dealers ⓘ store registration information for associated individuals ⓘ store registration information for broker-dealers ⓘ support regulation of broker-dealers and registered representatives ⓘ |
| regulatesActivity |
broker-dealer registration
ⓘ
registered representative licensing ⓘ |
| relatedSystem |
BrokerCheck
NERFINISHED
ⓘ
IARD NERFINISHED ⓘ Investment Adviser Registration Depository NERFINISHED ⓘ |
| sector | financial regulation ⓘ |
| supportsProcess |
amendments to registration records
ⓘ
initial registration filings ⓘ regulatory review of applicants ⓘ termination of registrations ⓘ |
| usedBy |
SEC
NERFINISHED
ⓘ
U.S. Securities and Exchange Commission NERFINISHED ⓘ broker-dealers ⓘ investment adviser representatives who are FINRA-registered ⓘ registered representatives ⓘ self-regulatory organizations ⓘ state securities regulators ⓘ |
How these facts were elicited
The pipeline generated the facts above by prompting gpt-5.1 with this entity's name + description and the instruction below.
Instruction
You are a knowledge base construction expert. Given a subject entity and a description of it, return factual statements that you know for the subject as a JSON list of dictionaries(triples), where keys must be "subject", "predicate" and "object". The number of facts may be very high, between 25 to 50 or more, for very popular subjects. For less popular subjects, the number of facts can be very low, like 5 or 10. # Requirements - If you don't know the subject at all, return an empty list. - If the subject is not a named entity, return an empty list. - Include at least one triple where predicate is "instanceOf". - Do not get too wordy. - Separate several objects into multiple triples with one object.
Input
Subject: FINRA CRD Description of subject: FINRA CRD is a centralized online database maintained by the Financial Industry Regulatory Authority that stores registration and licensing information for broker-dealers and their associated individuals in the U.S.
Referenced by (2)
Full triples — surface form annotated when it differs from this entity's canonical label.
this entity surface form:
FINRA CRD system