To conduct securities transactions and business with the investing public in the United States, both firms and individuals must be registered. Those who wish to become registered must file Form BD (the Uniform Application for Broker-Dealer Registration) with the SEC, appropriate self-regulatory organizations (SROs), including FINRA, and jurisdictions.
Form BD must first be submitted electronically and then a signed and notarized copy of the form must be sent to FINRA.
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- Support Resources
- Submitting a Hard Copy Form BD
- Updating Form BD
- Withdrawing a Form BD
- Questions? Contact Us
- Resources will be added as they become available.
The initial Hard Copy Form BD must bear an original signature on behalf of the Applicant (mechanical reproductions are not acceptable) and the signature date field must reflect a complete month, day and year. Page 1 of the paper Form BD must be notarized and affixed with the notary's original signature and stamp or seal.
The signed and notarized copy should be mailed to:
Regulatory Review and Disclosure Department
9509 Key West Avenue
Rockville, MD 20850
A firm is under a continuing obligation to update changes to information required by Form BD within a specified amount of time by filing an appropriate amendment, as prescribed in Article IV, Section 1(c) of the FINRA By-Laws. Broker-dealer firms must file a Form BD amendment and/or a Continuing Membership Application (Form CMA) depending on the type of registration information that requires updating.
To voluntarily withdraw a membership application, a firm must submit Form BDW electronically.
Firms may contact the FINRA Gateway Call Center at (301) 590-6500 to discuss with appropriate staff any questions about Form BD filing requirements.