I think it is a good idea to have just one form for NASD and state use; but only if all states approve it (i.e. FL, NV, VT and CT). The scope of information requested is large; are all fields required?
My main concern is this: please make a space to list the email address of the person submitting the form. The state of FL will email notification that the office location has been approved. If there is no email; it could take up to 2 weeks for the paper approval notice to reach us. This email option would be very important.
Will we need to amend Form BR each time a new associated individual is added to a branch?
Will the SRO/Jurisdiction automatically populate on section 2. Registration/Notice Filing/Type of Filing? Can multiple boxes be checked (i.e. NASD and Jurisdiction)? If a state does not require branch office notification, and the office location is NOT an NASD registered branch, will we be somehow notified that the filing is not necessary?
These are just a couple comments. Please don't hesitate to contact me if you need to.
Licensing & Registration
QA3 Financial Corp. (CRD # 14754)
One Valmont Plaza, 4th Floor
Omaha, NE 68154