Form Br - Uniform Branch Office Registration Form Instructions


Rev. Form BR (04/2014)
Uniform Branch Office Registration Form
The Uniform Branch Office Registration Form (Form BR) is the form used for branch
office registration, notification, closing or withdrawal. Broker-Dealers and Investment
Advisers must use Form BR to register or notice file their branch offices in the
appropriate participating jurisdictions and/or with self-regulatory organizations
(SROs). These instructions apply to the filing of Form BR electronically with the
Central Registration Depository ("CRD
"). Filers submitting paper filings should read
the Special Instructions For Paper Filers (Jurisdictions Only) in conjunction with the
other instructions to Form BR. In addition, paper filers should contact the appropriate
jurisdiction for specific filing instructions or requirements.
Filers must answer all questions and submit all requested information,
unless otherwise directed in the Specific Instructions.
Upon request, filers may be required to provide documents to clarify or support
responses to 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 the filer is an approved paper filer) by promptly updating the
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 circumstances giving rise to the amendment.
Some jurisdictions require approval of a branch office before business can
be conducted at a branch office location.
Filers should contact the appropriate SRO or jurisdiction with any questions relating
to Form BR or branch registration/notice filing requirements.
Electronic Filing Instructions
An applicant must file a complete Form BR to register or notice file a branch office
with the CRD system for the first time. All questions must be answered and all
sections/fields requiring a response must be completed before the filing will be
accepted. The applicant must complete Section 8 (Signature) to certify that Form BR
and amendments thereto have been executed properly and that the information
contained therein is accurate and complete. To amend information, the applicant
must update the appropriate Form BR sections.
1 of 17


00 votes

Related Articles

Related forms

Related Categories

Parent category: Legal
Page of 9