CRD system definition

CRD system means the central registration depository system of the national association of securities dealers, incorporated.
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CRD system means the central registration depository system of
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CRD system means the Central Registration Depository, the central licensing and registration system for the U.S. securities industry and its regulators.
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Examples of CRD system in a sentence

  • Provide the individual’s CRD number that was generated by the CRD system for the individual.

  • Provide the firm’s CRD number that was generated by the CRD system for the firm.

  • If the applicant is not a member of FINRA, the fee shall be remitted to the administrator.50.10(2) No application for initial registration will be deemed complete for purposes of Iowa Code section 502.406(3) until the applicant has been approved as a member of FINRA.50.10(3) An applicant that is a member of FINRA and that seeks renewal of a broker-dealer registration shall comply with the renewal time frames established by FINRA for renewal on the CRD system and shall:a.

  • We have fulfilled all the necessary investigative requirements for the registration of each applicant as a registered representative through our NASD member firm, including but not limited to: (i) checking for and investigating criminal arrest and conviction records available to Broker-Dealer on the CRD system; and (ii) communicating with each employer of the applicant for 3 years prior to the applicant's registration with our firm.

  • An application for renewal must include the filing fee specified in 9 V.S.A. § 5410(b) and any reasonable fee charged by FINRA for filing with the CRD system.

  • An occurrence is a disclosure event that is reported to the CRD system via one or more Disclosure Reporting Pages.

  • An application for renewal must include the filing fee specified in 9 V.S.A. § 5410(a) and any reasonable fee charged by FINRA for filing with the CRD system.

  • The CRD system provides these signals to the RAPI signal interface units (SIUs) of the RCIS.

  • Individuals not required to file a Form U-4 (individual registration) with the CRD system who are listed on Schedules A, B, or C must attach page 2 of Form U-4.

  • The above noted regulatory action has been referenced on both Form MA and MA-I due to the information already filed on FINRA’s CRD system and is publicly accessible through BrokerCheck at xxxx://xxxxxxxxxxx.xxxxx.xxx.


More Definitions of CRD system

CRD system means the NASAA/FINRA Central Registration Depository System, commonly known as “CRD” and/or “Web CRD”.
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CRD system means the northwest trunk sewer system owned and operated by the CRD.
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Related to CRD system

  • Sewer System means pipelines or conduits, pumping stations, force mains, vehicles, vessels, conveyances, injection wells, and all other constructions, devices, and appliances appurtenant thereto used for conducting sewage or industrial waste or other wastes to a point of ultimate disposal or disposal to any water of the state. To the extent that they are not subject to section 402 of the federal Water Pollution Control Act, ditches, pipes, and drains that serve only to collect, channel, direct, and convey nonpoint runoff from precipitation are not considered as sewer systems for the purposes of this part of this division.

  • Customer System means the Customer's computing environment (consisting of hardware, software and/or telecommunications networks or equipment) used by the Customer or the Supplier in connection with this Contract which is owned by or licensed to the Customer by a third party and which interfaces with the Supplier System or which is necessary for the Customer to receive the Services;

  • Customer Interconnection Facilities means all facilities and equipment owned and/or controlled, operated and maintained by Interconnection Customer on Interconnection Customer’s side of the Point of Interconnection identified in the appropriate appendices to the Interconnection Service Agreement and to the Interconnection Construction Service Agreement, including any modifications, additions, or upgrades made to such facilities and equipment, that are necessary to physically and electrically interconnect the Customer Facility with the Transmission System.

  • Water System means the plants, structures and other