Skip to main content

For updates and guidance related to COVID-19 / Coronavirus, click here.

Broker-Dealer Registration

FINRA Fingerprint Process Change

FINRA is in the final stages of implementing a new fingerprint process for broker-dealer firms and funding portals that is expected to become effective late September, although it is subject to the appropriate approvals. To prepare for the transition, broker-dealers and funding portals should perform several key tasks. See the FINRA Fingerprint Process Change page for task instructions and deadlines.

The FINRA broker-dealer (BD) registration process covers a firm's full life cycle, from meeting initial membership standards to updating and renewing its registration. This page offers guidance to broker-dealer firms seeking to become FINRA members, including details on the various filing and qualification requirements and what member firms need to do to expand their business or withdraw their registration.

Register a New Broker-Dealer Firm

This section outlines the standards and procedural guidelines for the membership application and registration process for BD firms.

Manage a Branch Office Registration

This section outlines what BDs must do to register branch offices with FINRA, other SROs and jurisdictions.

Terminate a Broker-Dealer Firm Registration

This section explains how BDs may file full or partial withdrawals of registration from FINRA, other SROs, the SEC and jurisdictions.

Update a Broker-Dealer Firm Registration

This section provides details on the process for updating a BD registration, including:

  • The Materiality Consultation process and the forms a firm must file;
  • Whether an update requires a Form BD amendment and/or a Continuing Membership Application (CMA) filing.

Renew a BD Firm Registration

This section outlines the process for the annual renewal of a firm’s registration with FINRA, other SROs and jurisdictions.