Web CRD® Simultaneous Form Filing Program

FINRA's Simultaneous Form Filing Program allows a "simultaneous filing group" or "SFG" (i.e., two or more FINRA member firms under substantially the same common ownership or control) to submit a single Form U4 (and single fingerprint card) or Form U5 to register or terminate an individual, respectively, with that SFG for a single processing fee. To obtain the benefits of FINRA's Simultaneous Filing Program, member firms must establish an SFG by submitting an "SFG Participation Agreement" before electronically filing Forms U4 or U5 on behalf of an individual. There is no limit to the number of affiliates that may participate in an SFG; however, before approving an SFG, FINRA must validate that the SFG affiliates are also listed on Question 10 of the Form BD.

 

For any questions you may have regarding the Program, please contact the Gateway Call Center at (301) 869-6699.

 

Last Updated: 4/2/2014