The Central Registration Depository (CRD) is a database maintained by the Financial Industry Regulatory Authority (FINRA) since 2007 for all firms and individuals involved in the U.S. securities industry.1 It is used to store and maintain information onregistered securitiesandbrokerfirms, as we...
An Acceptance, Waiver, and Consent (AWC) is FINRA’s version of a settlement or plea agreement following an investigation into an alleged rule violation. States often refer to the agreements as “consent orders.” FINRA uses them as a way to avoid the ne
(“SIMNA”) is an SEC registered investment adviser, CRD Number 105820, providing asset management products and services to clients in the US and registered as a Portfolio Manager with the securities regulatory authorities in Canada. Schroder Fund Advisors LLC (“SFA”) is ...
Broker-dealer agents are required to register with Alaska’s Division of Banking and Securities through the FINRA-managed Central Registration Depository (CRD). Stockbrokers who are registered in Alaska must pass either the Series 63 or 66 state exams in combination with a product exam such as th...