The Financial Industry Regulatory Authority (FINRA) administers the CRD program, which facilitates the licensing and registration of U.S. securities industry firms and professionals. The CRD contains the registration records of broker-dealer firms, branch offices, and their associated financial professionals, including their qualification, employment, and disclosure histories. The CRD program also directs the processing of form filings, fingerprint submissions, collection and disbursement of registration-related fees, qualification exams, and continuing education sessions for securities firms and financial professionals.
Investing Quiz - November
Test your investing IQ on day trading, mutual funds, margin accounts and more!
Veterans: Protect Yourself From Investment Fraud
Read our Director’s Take article to stay clear of con artists and their investment scams, and how to invest wisely.
Funds Trading in Bitcoin Futures
Read our Investor Bulletin if you are considering a fund with exposure to the Bitcoin futures market.