Form Br - Uniform Branch Office Registration Form Instructions (Page 4 of 9) in pdf

Rev. Form BR (04/2014)

City

Enter the name of the city where this branch office is physically located.

State

Enter the state where this branch office is physically located.

Note: If the applicant files a Form BR amendment to relocate this branch office to

another state, the amendment filing represents the applicant's acknowledgement

that it is closing this branch office in the current state. In addition, if the applicant is

relocating this branch office to a state that requires branch office registration or

notice filing, the amendment filing represents the applicant's acknowledgement that

it is requesting branch office registration or notice filing in that state.

Country

Enter the name of the country where this branch office is physically located.

Postal Code

Enter the postal code where this branch office is physically located.

Private Residence Check Box

Check this box if this branch office is also a private residence. Checking this box may

not necessarily prevent the Branch Address from disclosure to the public.

Branch Telephone Number

Enter the telephone number of this branch office.

Branch Facsimile Number

Enter the facsimile number of this branch office.

2. REGISTRATION/NOTICE FILING/TYPE OF OFFICE/ACTIVITIES

The CRD system will populate the applicable SRO and/or jurisdiction with which you

may be required to register or notice file this branch office based on the applicant’s

current registrations and where this branch is physically located. If applicant is not

required to register or notice file this branch office with an SRO and/or jurisdiction

that has been populated, you may remove that registration/notice request. Note: If

applicant files a Form BR amendment to relocate this branch office to another state,

the amendment filing represents applicant's acknowledgement that it is closing the

branch office in the current state. In addition, if applicant is relocating this branch

office to a state that requires branch office registration or notice filing, the

amendment filing represents applicant's acknowledgement that it is requesting

branch office registration or notice filing in that state.

Type of Branch Office Registration/Notice Filing

Registering/Notice Filing: To register or notice file this branch office with a

jurisdiction, select the type of registration/notification you are seeking: Broker-

Dealer and/or Investment Adviser.

Terminating registration/notice when applicant is dually registered: To terminate the

branch registration or notice of this branch office when the applicant is registered as

both a Broker-Dealer and Investment Adviser, uncheck the applicable box (i.e.,

Broker-Dealer or Investment Adviser) and file an amended Form BR. To terminate

both Broker-Dealer and Investment Adviser registrations/notices for this branch

office, you must file a branch "closing" under Section 6.

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Form Br - Uniform Branch Office Registration Form Instructions Page 4

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