Register a New Candidate

Firms must register any person engaged in the securities business of the firm by filing the appropriate registration application online through the Central Registration Depository (CRD) Program to become registered with FINRA, the appropriate jurisdictions and/or self-regulatory organizations.

CRD-Registered Firms

Firms registered with one or more CRD-participating regulators must file a Form U4 (Uniform Application for Securities Industry Registration or Transfer Form) for each individual who will perform particular activities on behalf of the firm.

Fees

Applicable examination fees and registration-related fees are assessed with form filings submitted through CRD. 

Waiver Guidelines

FINRA may, in exceptional cases and where good cause is shown, waive qualification examinations and accept other standards as evidence of an applicant’s qualification for registration. Waiver requests must be filed electronically by the sponsoring firm via the FINRA Gateway.

Withdrawing an Individual Application (Form U5)

To voluntarily withdraw a Form U4 application filed on behalf of a registered individual, an Applicant (member firm) should file Form U5 (the Uniform Termination Notice for Securities Industry Registration) electronically to CRD. A filing fee will be deducted from the firm's CRD account once filed. See Article V, Section 3 of FINRA By-Laws regarding the member firm's obligation to notify FINRA and the associated person of the termination, and the continuing obligation of the member firm to update the Form U5 after termination.