Skip to main content

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

Broker Dealers

The FINRA broker-dealer (BD) registration process covers the 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, as well as what member firms need to do to expand their business or withdraw their registration.

Register a New Broker-Dealer Firm 

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

Manage a Branch Office Registration 

BDs must use Form BR to register each of their branch offices with FINRA, the NYSE and states.

Terminate a BD Firm Registration 

BDs may file full or partial withdrawals of registration from FINRA, other SROs, the SEC and all states/jurisdictions. Learn how to file Form BDW and how to amend Form BD.

Update a Broker-Dealer Firm Registration 

Firms must file a Form BD amendment and/or a Continuing Membership Application (CMA) depending on the type of update.

Renew a BD Firm Registration 

Every year, BD firms must renew their registration with FINRA, other SROs, and all appropriate states/jurisdictions.