Instructions For Form Br - Uniform Branch Office Registration Form printable pdf download

INSTRUCTIONS

Rev. Form BR (10/2005)

UNIFORM BRANCH OFFICE FORM

Special Instructions For Paper Filers (Jurisdictions Only)

Form BR

Uniform Branch Office

Some jurisdictions may require a separate paper filing of Form

BR. The applicant should contact the appropriate jurisdiction(s)

Registration Form

for specific filing requirements. Attach Section 9 (Signature)

with original manual signatures to an initial Form BR filing.

Type applicable information. Provide the name of the applicant

GENERAL INSTRUCTIONS

and the date on each page. Use only the current version of

Form BR, or a reproduction of the form. For an amendment to

Form BR, circle the number of any item for which you are

The Uniform Branch Office Registration Form (Form BR) is the

changing your response. Complete Section 9 (Signature) for all

form used for branch office registration, notification, closing or

amendment filings.

withdrawal. Broker-dealers and investment advisers must use

this form to register or notice file their branch offices in the

The Sections of Form BR are as follows:

appropriate jurisdictions and/or with SROs. These instructions

apply to the filing of Form BR electronically with the Central

Registration Depository ("CRD

"). Filers submitting paper

GENERAL INFORMATION

filings should read the Special Instructions For Paper Filers

REGISTRATION/NOTICE FILING/TYPE OF

(Jurisdictions Only) in conjunction with the other instructions to

OFFICE

the form. In addition, paper filers should contact the appropriate

TYPES OF ACTIVITIES/OTHER BUSINESS

jurisdiction for specific filing instructions or requirements.

NAMES/WEBSITES

BRANCH OFFICE ARRANGEMENTS

ASSOCIATED INDIVIDUALS

Filers must answer all questions and submit all requested

NYSE BRANCH INFORMATION

information, unless otherwise directed in the Specific

BRANCH CLOSING

Instructions. The questions in Section 6 (NYSE Branch

BRANCH WITHDRAWAL (PENDING

Information) are required to be completed only by

APPLICATION)

applicants that are seeking registration, or are currently

SIGNATURE

registered, with the New York Stock Exchange (NYSE).

EXPLANATION OF TERMS

Upon request, you may be required to provide documents to

clarify or support responses to the form.

The following definitions apply to terms that are italicized

in Form BR.

An applicant is under a continuing obligation to promptly

update Form BR whenever the information becomes inaccurate

or incomplete. Amendments must be filed electronically (unless

APPLICANT – The broker-dealer or state registered

the filer is an approved paper filer) by promptly updating the

investment adviser filing or amending this form.

appropriate section of Form BR. Note: The SROs and most

jurisdictions require that an amendment be filed not later

than 30 days after the applicant learns of the facts and

APPROPRIATE SIGNATORY – The individual the applicant

circumstances giving rise to the amendment.

authorizes to execute the applicant’s Form BR on the

applicant’s behalf. The appropriate signatory must meet the

criteria established, if any, by the appropriate self-regulatory

NYSE and some jurisdictions require approval of a branch

organization and/or jurisdiction.

office before business can be conducted at a branch

location.

CLOSING – An applicant’s request to terminate a branch office

registration when an applicant intends to cease, or has ceased,

Contact the appropriate SRO or jurisdiction, if you have

operations at a branch office.

questions about Form BR.

INVESTMENT-RELATED - Pertains to securities, commodities,

Electronic Filing Instructions

banking, insurance, or real estate (including, but not limited to,

acting as or being associated with a broker-dealer, issuer,

A complete Form BR is required when the applicant is

investment company, investment adviser, futures sponsor,

registering or notice filing a branch office with the CRD system

bank, or savings association).

for the first time. All questions must be answered and all

sections/fields requiring a response must be completed before

JURISDICTION – A state, the District of Columbia, the

the filing will be accepted. Section 6 (NYSE Branch

Commonwealth of Puerto Rico, the U.S. Virgin Islands, or any

Information) is required to be completed only by applicants that

subdivision or regulatory body thereof.

are seeking registration, or are currently registered, with NYSE.

The applicant must complete Section 9 (Signature) to certify

that Form BR and amendments thereto have been executed

OFFICE OF SUPERVISORY JURISDICTION (OSJ) – A

properly and that the information contained therein is accurate

location as defined by NASD Rule 3010.

and complete. To amend information, the applicant must

update the appropriate Form BR sections. A signed copy, with

PERSON – An individual, partnership, corporation, trust, or

original signatures, of the initial Form BR filing and

other organization.

amendments thereto must be retained by the applicant and be

made available for inspection upon a regulatory request.

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Instructions For Form Br - Uniform Branch Office Registration Form

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