The Investmeent Company and Variable Contracts Products Representative Qualification Examination.

Developed and maintained by FINRA.

Central Registration Depository

The CRD is an automated database used by the NASD and the NASAA to store and maintain historical records on registered securities representatives and principals who are employees of member firms.


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• To promote a cooperative effort between the investment banking industry, securities business, and government bodies
• To provide a medium of communication between members and members of the public
• To adopt, administer, and enforce the Rules of Conduct to prevent fraudlent and manipulative acts and practices and to promote equitable principles of trade for the protection of the investor
• To promote self-discipline among members and to investigate and adjust grievances between members and members of the public

FINRA requires each branch office of a member broker/dealer firm be registered with FINRA.  of firm

FINRA additionaly requires separate regirstration and fingerprinting of firm principals and their registered representatives.