Central Registration Depository definition

Central Registration Depository means the computer registration system known as the central registration depository, which is maintained by the financial industry regulatory authority and the states that participate in that system, or any successor system.

Central Registration Depository or "CRD" means the elec- tronic filing system operated by FINRA for the registration of broker- dealers, broker-dealer representatives, and investment adviser repre- sentatives.

Central Registration Depository or "CRD" means the elec- tronic filing system operated by FINRA for the registration of broker- dealers and broker-dealer representatives.

Examples of Central Registration Depository in a sentence

• MainVest Inc.’s Central Index Key (CIK) number is 0001746059, their SEC File number is 007-00162, and their Central Registration Depository (CRD) number is 298384.

• Such papers shall be served at the entity's business address as reflected in the Central Registration Depository, if applicable; provided, however, that when the Party or other person responsible for serving such entity has actual knowledge that an entity's Central Registration Depository address is out of date, duplicate copies shall be served at the entity's last known address.

• Papers may also be served at the business address of the entity with which the natural person is employed or affiliated, as reflected in the Central Registration Depository, or at a business address, such as a branch office, at which the natural person is employed, or at which the natural person is physically present during a normal business day.

• The Hearing Officer may waive the requirement of serving documents (other than complaints) at the addresses listed in the Central Registration Depository if there is evidence that these addresses are no longer valid, and there is a more current address available.

• With respect to a person who is currently associated with a Member in an unregistered capacity, a notice under this LTSE Rule 8.210 shall be deemed received by the person by mailing or otherwise transmitting the notice to the last known business address of the Member as reflected in the Central Registration Depository.

More Definitions of Central Registration Depository

Central Registration Depository. ("CRD") shall mean the national registration system operated by the National Association of Securities Dealers, Inc. pursuant to a contract with the North American Securities Administrators Association.

Central Registration Depository means the Central Registration Depository of the [National Association of Securities Dealers, Inc.,] Financial Industry Regulatory Authority, or its successor, and the North American Securities Administrators Association or its successor.

Central Registration Depository. ("CRD") shall mean the na- tional registration system operated by the Financial Industry Regula- tory Authority, Inc. pursuant to a contract with the North American Securities Administrators Association.

Central Registration Depository means the computer registration system known as the central registration depository which is maintained by the national association of securities dealers and the states that participate in that system or any successor system.

Central Registration Depository. ("CRD") shall mean the national registration system operated by the ((National Association of Securities Dealers)) Financial Industry Regulatory Authority, Inc. pursuant to a contract with the North American Securities Administrators Associa- tion.

Central Registration Depository or "CRD" means the electronic filing system operated by FINRA for the registration of broker-dealers and broker-dealer representa- tives.

Central Registration Depository means the Central Registration Depository of the [National Association of Securities Dealers] Financial Industry Regulatory Authority and the North American Securities Administrators Association.