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Dealer Registration Requirements


Dealers must file electronically through the Web CRD system operated by FINRA. For questions relating to FINRA or the Web CRD system, please call the Gateway Call Center at (301) 869-6699.

Initial Registration:

  • File Form BD electronically through the CRD system.
  • Filing fee: $300.00 paid through the CRD system.
  • Submit any other information requested by the Securities Division in a timely manner

Renewals: A registered dealer will be required to renew its registration and the registration of its salesmen annually by December 31 of each year. FINRA publishes instructions on CRD renewal prior to expiration. If you do not receive instructions from FINRA regarding the renewal process, contact the FINRA Gateway Call Center at (301) 869-6699.

Please note: Failure to renew by December 31st will result in termination of registration in North Carolina. The Securities Division will NOT send out separate reminders about the renewal process.

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