Proposed Rule Change to Amend the Uniform Branch Office Registration Form (Form BR)
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the Uniform Branch Office Registration Form (“Form BR”) to (1) eliminate Section 6 (NYSE Branch Information), which is currently applicable only to NYSE-registered firms; (2) add questions relating to space sharing arrangements and the location of books and records that are currently only in Section 6 and make them applicable to all members; (3) modify existing questions and instructions to provide more detailed selections for describing the types of activities conducted at the branch office; (4) add an optional question to identify a branch office as an “Office of Municipal Supervisory Jurisdiction,” as defined under the rules of the Municipal Securities Rulemaking Board (MSRB); and (5) make other technical changes to adopt uniform terminology and clarify questions and instructions (collectively, the proposed amendments to Form BR are hereinafter referred to as the “Updated Form BR”).
|Date||Title||Format - Size||Status|
|11/25/2013||Text of Proposed Rule Change||PDF - 253.15 KB|
|12/13/2013||Federal Register Notice||PDF - 210.75 KB|
|1/21/2014||Response to Comments||PDF - 278.75 KB|
|1/29/2014||Notice of Designation of a Longer Period for Commission Action||PDF - 171.66 KB|
|3/5/2014||Approval Order||PDF - 205.33 KB|