Current Uniform Registration Forms for Electronic Filing in Web CRD

There are currently six different Uniform Registration Forms that are used to file information with Web CRD. The Form U4 (Uniform Application for Securities Industry Registration or Transfer) and the Form U5 (Uniform Termination Notice for Securities Industry Registration) are used by broker-dealers to register, and terminate the registrations of, associated persons with self-regulatory organizations (SROs), and jurisdictions. The Form BD (Uniform Application for Broker-Dealer Registration) and the Form BDW (Uniform Request for Broker-Dealer Withdrawal) are used by broker-dealers to register or to withdraw their registration with the Securities and Exchange Commission, SROs, and jurisdictions. The Form BR (Uniform Branch Office Registration Form) is used by broker-dealers for branch office registration, notification, closing or withdrawal. The Form U6 (Uniform Disciplinary Action Reporting Form) is used by SROs, regulators, and jurisdictions to report disciplinary actions against broker-dealers and associated persons. This form is also used by FINRA to report final arbitration awards against broker-dealers and associated persons.

The Uniform Registration Forms, particularly the Forms U4 and U5, are periodically revised to incorporate various changes to the forms. The most recent version of the forms, instructions and definitions of the terms used in the forms is available below.

 

If you do not have Adobe® Acrobat Reader to view PDF files, please download the free plug-in. Please note, in order to enter text into the fields of these PDF forms, you will need Adobe Acrobat Reader version 8.0 or higher and you will need to click on the “Typewriter” tool in the PDF form.

 

 

In addition, FINRA has created a Uniform Forms Reference Guide (PDF 42 KB) to provide member firms and other users of the forms with contact and other explanatory information.

If you should have any questions regarding the Uniform Registration Forms, please contact the Gateway Call Center at (301) 869-6699.
 

Last Updated: 4/7/2014