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Update a Broker-Dealer Firm Registration

Many firms will, from time to time, seek to expand or change their business. However, broker-dealer firms must file a Form BD amendment and/or a Continuing Membership Application (CMA) before making certain changes. Below are resources to help firms understand when and how to file an update.


When To File An Update


Learn what forms a firm must file, what makes a change material, when safe harbors apply, how to request a Materiality Consultation and what is required of firms regarding mergers, acquisitions and successions.


How To File An Update


Learn more about the documentation needed and the process for filing a Continuing Membership Application.


FAQ About CMAs


This section outlines frequently asked questions about the Continuing Membership Application form and filing process.