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ORF Migration Industry Call
The following links should be helpful when filing online for your firm and associated individuals:
CRD System and Related Links
Electronic Fingerprint Processing
Electronic Fingerprint Submission (EFS)
Filing Guidance Related to Registration Forms
Current Uniform Registration Forms for Electronic Filing in CRD (U4, U5, U6, BR, BD, and BDW)
Investment Adviser Representative (RA) Form Filing
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In this section of FINRA.org, you will find step-by-step instructions on how to become a funding portal member of FINRA. The funding portal membership requirements are set forth in Funding Portal Rule 110. This general guide outlines the substantive standards and procedures for the entire funding portal membership application and registration process.
Before applying to become a funding
Firms are able to file full or partial withdrawals of registration by submitting Form BDW, the Uniform Request for Broker-Dealer Withdrawal.
Partial Withdrawal
A partial withdrawal ends registration with one or more specified jurisdictions and/or SROs, but not with the SEC. Registration with at least one SRO and jurisdiction must be maintained in order to submit the filing.
Remember: Partial
Many firms will, from time to time, seek to expand or change their business. However, broker-dealer firms must file a Form BD amendment and/or a Continuing Membership Application (CMA) before making certain changes. Below are resources to help firms understand when and how to file an update.
When To File An Update
Learn what forms a firm must file, what makes a change material, when safe
Resource Page for the SEC’s July 2013 Financial Responsibility Rule Amendments
Representatives of broker-dealers, investment advisers or issuers of securities must be registered with the appropriate jurisdictions and/or self-regulatory organizations (SROs).
FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council
SEC Approves FINRA Rule 2081 Regarding Prohibited Conditions Relating to Expungement of Customer Dispute Information