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Central Registration Depository (CRD)

The Central Registration Depository (CRD) is an online database containing administrative and disclosure information about registered securities firms and brokers. FINRA works with several organizations to ensure CRD information is accurate, including: The North American Securities Administrators Association (NASAA), the Securities and Exchange Commission (SEC), other regulatory communities including state and federal regulators and self-regulatory organizations (SROs), and brokerage firms.

 

Disclosure information is submitted through the Uniform Registration Forms, which are designed to collect information relevant to regulatory licensing and enforcement (Forms U4, U5, which are used by securities firms to report registration and employment-related information; and Form U6, used by regulators to report disciplinary actions).