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The CRD is populated with information from the registration forms submitted by broker-dealers and regulators. There are currently six different Uniform Registration Forms that are used to file information in the CRD. The most common forms are Forms U4, U5, and U6. Form U4 (Uniform Application for Securities Industry Registration or Transfer) and Form U5 (Uniform Termination Notice for Securities Industry Registration) are used by broker-dealers to register and terminate the registrations of associated persons with self-regulatory organizations (“SRO”) and jurisdictions. Form U6 (Uniform Disciplinary Action Reporting Form) is used by SROs, regulators, and jurisdictions to report disciplinary actions against broker-dealers and associated persons. This form is also used by FINRA to report final arbitration awards against broker-dealers and associated persons.


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