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Central Registration Depository—CRD Definition
The Central Registration Depository (CRD) is a database maintained by FINRA of all firms and individuals involved in the U.S. securities industry.
SEC Form BD Definition
SEC Form BD must be submitted to the U.S. Securities and Exchange Commission (SEC) when registering as a broker-dealer in the United States.
Expunge is the act of eliminating a formal customer complaint lodged against a securities broker from FINRA's public records.
Hardship Withdrawal vs. 401(k) Loan
Sometimes the right financial move is to get money from your 401(k). How to decide whether borrowing or taking a withdrawal is the better strategy.
FINRA BrokerCheck is a free, online tool that helps individuals research brokers, brokerage firms, investment adviser firms and advisers.
What You Need to Know About Your 2020 Taxes
Although some deductions and other filing details remained unchanged, certain deductions and income allowances will inch up for 2020.
SEC Form BDW Definition
A form which securities broker-dealers must submit to the Securities and Exchange Commission (SEC), to terminate status as a registered broker.
Investment Advisory Representative (IAR)
Investment Advisory Representative (IAR) refers to personnel who work for investment advisory companies.
Financial Industry Regulatory Authority (FINRA)
The Financial Industry Regulatory Authority (FINRA) is a nongovernmental organization that writes and enforces rules for brokers and broker-dealers.
SEC Form U-5S
SEC Form U-5S is a filing with the Securities and Exchange Commission (SEC) that had to be filed annually by every registered holding company.