Overview of Scenarios Described in FAQs 39-44

The following chart provides an overview of the scenarios described in FAQs 39-44, covering Form BR filings—initial and amendments—for FINRA and the NYSE, as applicable, and jurisdictions.

Note: The NYSE has accepted the RSL designation. See Securities Exchange Act Release No. 101325 (October 15, 2024), 89 FR 84221I (October 21, 2024) (Notice of Filing and Immediate Effectiveness of File No. SR-NYSE-2024-64); see also the NYSE’s proposed rule change for immediate effectiveness to harmonize NYSE Rule 3110.19(d) with FINRA Rule 3110.19(d), as amended (File No. SR-NYSE-2024-73).

In all cases, including when a branch office is closed, firms must also report an RSL as an Office of Employment Address (OEA) on an associated person’s Form U4 by responding “Yes” to the RSL Question within the required timeframes provided in Q15.6/A15.6 and maintain RSL information in the firm's internal records.

Form BR Filings—Initial and Amendment—for RSLs
Scenario	Action
RSL located in a branch participating jurisdiction⁺ that does accept RSL*	Initial No Form BR required
	Amendment The branch office can be closed by submitting a Form BR Closing
RSL located in a branch participating jurisdiction⁺ that does not accept RSL*	File an Initial Form BR or Form BR Amendment, as applicable De-select FINRA check box De-select NYSE check box, if applicable Leave jurisdiction check box pre-selected
RSL located in a non-branch participating jurisdiction.⁺*	Initial No Form BR required
RSL located in a non-branch participating jurisdiction.⁺*	Amendment The branch office can be closed by submitting a Form BR Closing

⁺ As used in this chart, a “branch participating jurisdiction” refers to a state jurisdiction that requires registration or “notice filing” of branch offices and a “non-branch participating jurisdiction” refers to a state jurisdiction that does not require registration or “notice filing” of branch offices.

* See SRO/Jurisdiction Fee and Setting Schedule – Web CRD.