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Examples
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For stock brokers, (this document) is called a CRD (central registration depository record), and for financial advisors, it's called the IARD (Investment Advisor Registration Depository).
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The CRD is a private database maintained by the Financial Industry Regulatory Authority (FINRA).
Forbes.com: News 2009
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Registration Dates Firm Name CRD # Branch Location
Forbes.com: News Bill Singer 2011
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Respondents Securities America and Talbott generally denied the allegations, asserted various affirmative defenses, and requested the expungement of all references to the arbitration from Respondent Talbott's Central Registration Depository "CRD" records.
Forbes.com: News Bill Singer 2011
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Respondents Securities America and Talbott generally denied the allegations, asserted various affirmative defenses, and requested the expungement of all references to the arbitration from Respondent Talbott's Central Registration Depository "CRD" records.
Public Customer Wins Medical Capital Notes Arbitration - Bill Singer - Street Sweeper - Forbes 2011
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Respondents Securities America and Talbott generally denied the allegations, asserted various affirmative defenses, and requested the expungement of all references to the arbitration from Respondent Talbott's Central Registration Depository "CRD" records.
Forbes.com: News Bill Singer 2011
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Respondents Securities America and Talbott generally denied the allegations, asserted various affirmative defenses, and requested the expungement of all references to the arbitration from Respondent Talbott's Central Registration Depository "CRD" records.
Public Customer Wins Medical Capital Notes Arbitration - Bill Singer - Street Sweeper - Forbes 2011
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Following the settlement of the Semones arbitration, Respondent Curran requested an expungement of the matter from his Central Registration and Depository "CRD" file - for lack of a more precise explanation, consider this a stockbroker's "permanent record," to harken back to High School days.
Forbes.com: News Bill Singer 2011
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Indeed, many brokers who now find their CRD records marred by numerous investor complaints are suing their firms, seeking "expungement" for this very reason.
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Indeed, many brokers who now find their CRD records marred by numerous investor complaints are suing their firms, seeking "expungement" for this very reason.
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