Below are links to the central web sites that provide copies of each of the three NMS Plans in which FINRA participates.
1. What is the Form BR?
Form BR is the Uniform Branch Office Registration form that enables firms to "register" or "notice file" branch offices electronically through FINRA Gateway with FINRA, the New York Stock Exchange, Inc. (NYSE) and other participating jurisdictions.
FINRA has implemented Form BR (Uniform Branch Office Registration Form) functionality enhancements for initial Form BR submissions that allow firms to de-select FINRA when establishing a new location designated as an RSL that needs to be registered or notice filed with a jurisdiction, the New York Stock Exchange (NYSE), or both, as a branch office. Further information on these functionality enhancements and how firms should complete an initial Form BR is available in the Frequently Asked Questions about Residential Supervisory Locations (RSLs).
Firms must register each branch office with FINRA, the New York Stock Exchange (NYSE) and states that require branch registration. This is accomplished with Form BR, the Uniform Branch Office Registration Form.Every firm must have at least one branch office location registered. Every registered branch must have a Supervisor or Person-in-Charge that is registered with the firm.Article IV, Section
FINRA understands that certain jurisdictions and SROs that require a branch office to be either “registered” or “notice filed,” using Form BR (Uniform Branch Office Registration Form) may not currently be able to recognize FINRA Rule 3110.19 (Residential Supervisory Location (“RSL”)).
SummaryFINRA periodically reviews the content of qualification exams to ensure each exam remains current and appropriately tailored to the qualifications and subject matter being tested. Based on this review process, FINRA has revised the Research Analyst (Series 86/87) exam program to incorporate the functions and associated tasks a Research Analyst currently performs; reflect the laws
The Cybersecurity section of the 2017 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
Strengthen your cybersecurity knowledge and learn how to protect sensitive information. Explore common threats, controls and best practices to mitigate cyber risks.
