HELP & TRAINING

FINRA tracks individuals on active military duty as part of Web CRD/IARD. This information is maintained in the system and is made available to regulators and the registering firm. For any questions concerning registration or licensing relief, the firm should contact the appropriate state licensing regulator.

How firms should notify FINRA of a currently or previously registered individual on military leave.

The firm should provide FINRA the following documentation:

1. The individual's orders (official call-up notification) or letter of leave request for individuals that voluntarily join. Either document should include the following information:
   • the individual's start date
   • military branch
   • location of service duty
2. A letter from the firm (on firm letterhead) to FINRA that includes the following information:
   • the firm's CRD number
   • the date that the individual started active military service
   • the individual's name
   • the individual's CRD Number

When the individual's military service ends and he or she returns to the firm or begins working at a new firm, the firm should provide to FINRA the following documentation:

1. A letter from the firm (on firm letterhead) to FINRA that includes:
   • the firm's CRD number
   • the individual's name
   • the individual's CRD number
   • the date the individual returned to the original firm or began working at the new firm, as appropriate
2. A copy of the individual's discharge papers that indicate the start and end dates of service

The documentation can be submitted to FINRA by either facsimile or mail as follows:

Once the necessary documentation is received, FINRA will:

• Contact the firm to confirm receipt.
• Enter the individual's military service in Web CRD/IARD so regulators receive notice of the individual's service through the individual's record and reports.