Form Filing: IA Representative Registration

Web CRD allows IA firms to create and submit electronic filings of Forms U-4 and U-5 to fulfill the state regulatory registration requirements of investment adviser representatives (RAs). IA firms should register their IA representatives electronically on Web CRD as directed/mandated by states. Firms may also do so voluntarily. On this page are links to:

• The current version of the Uniform Forms U-4 and U-5 available from the FINRA Web Site.
• Information regarding state participation in the electronic filing of IA representatives.
• Information regarding filing types for individual registration.
• User support tools available to help guide you through an Individual Form Filing.

Helpful links regarding Form Filing for investment adviser representative registration:

• Current Uniform Registration Forms for Electronic Filing in Web CRD
• Uniform Forms Reference Guide
• NASAA's IARD: IA/BD Exemption Chart
• Investment Adviser Representative (RA) Form Filing Scenarios
• IA Firm User’s Manual - Chapter 9: Individual Form Filing

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