Central Registration Depository (CRD) Rules

The Central Registration Depository (CRD) is an online database containing administrative and disclosure information about registered securities firms and brokers. FINRA works with several organizations to ensure CRD information is accurate, including: The North American Securities Administrators Association (NASAA), the Securities and Exchange Commission (SEC), other regulatory communities including state and federal regulators and self-regulatory organizations (SROs), and brokerage firms.

Disclosure information is submitted through the Uniform Registration Forms, which are designed to collect information relevant to regulatory licensing and enforcement (Forms U4, U5, which are used by securities firms to report registration and employment-related information; and Form U6, used by regulators to report disciplinary actions).

Client Reviews

Rob and his firm assisted with a number of formation and start up issues for my new business venture. He is an intelligent attorney and a pleasure to work with. I will continue to use The Castle Law Firm in the future. Highly recommend.

John M.

As first-time franchise buyers, we didn't know what to expect. Rob walked us step-by-step through our franchise agreement and FDD, answering any questions and easing our concerns. He pointed out potential risks and terms to negotiate, and has been there for any business questions along the way. Rob...

Mike W.

I had an excellent experience working with Mr. Castle as my attorney. Mr. Castle reviewed several detailed contract issues with me. He was able to answer all of my questions, provide valuable insight and suggestions in a way I could easily understand. Mr. Castle is knowledgeable, as well as...

Shawn M.

Great, professional service. I have been working with The Castle Law Firm on some business matters, and have been blown away by their attention to detail and professionalism. Rob is extremely responsive and gets work done quickly. I would recommend this firm to anyone needing legal/business...

Andres J.

Rob Castle provided me with beneficial legal counsel when forming my various LLCs, and has served as a great resource while running my businesses. He is very professional, and I recommend his firm’s services.

Richard Y.
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