FINRA is responsible for the Central Registration Depository (CRD) program, which supports the licensing and registration filing requirements of the U.S. securities industry and its regulators. The general public can review information collected through the CRD program about broker-dealer firms and their registered individuals via FINRA’s investor protection tool, BrokerCheck.
The Uniform Registration Forms are periodically revised to incorporate various changes to the forms. The most recent versions of the forms, instructions and other resources are available through the pages below.
Optional Form U4 E-Signature and CE Notification Features Available in FINRA Gateway
Effective September 25, firms can now enable two new optional features in FINRA Gateway’s Firm Settings. Registered securities professionals with FinPro accounts can now receive auto-generated email reminders about their regulatory element CE requirement as well as electronically sign their Form U4 filings.
Individual Registration Forms
The Form U4 (Uniform Application for Securities Industry Registration or Transfer) is used by firms to register and update the registration information of associated persons with self-regulatory organizations (SROs) and jurisdictions.
The Form U5 (Uniform Termination Notice for Securities Industry Registration) is used by firms to terminate one or more of the registrations of associated persons with self-regulatory organizations (SROs), and jurisdictions.
Branch Registration Form
The Form BR (Uniform Branch Office Registration Form) is used by broker-dealers for branch office registration, notification, closing or withdrawal.
Firm Registration Forms
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 U6 (Uniform Disciplinary Action Reporting Form) is used by the SEC, SROs 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.