Form Br - Uniform Branch Office Registration Form Instructions (Page 5 of 9) in pdf

Rev. Form BR (04/2014)

Types of Activities

Check all applicable types of financial industry activities conducted by the applicant

at this branch office.

Office of Supervisory Jurisdiction

Indicate whether this branch office is an Office of Supervisory Jurisdiction (OSJ).

Supervisor Detail

Answer "yes" if this branch office is an Office of Supervisory Jurisdiction (OSJ). Then

in the “Supervisor Detail” section enter the CRD number of the Supervisor(s)

physically located at this OSJ that is responsible for supervising this branch office;

entering the CRD number will populate the individual’s name. The “Type of Activity”

field is optional.

Supervisory OSJ Branch and Person-In-Charge Detail

Answer “no” if this branch office is not an OSJ. Then in the “Supervisory OSJ Branch

Detail” section enter the CRD branch number(s) for the OSJ(s) that has supervisory

responsibility for this branch office and the CRD number(s) of the Supervisor(s) at

the OSJ that supervise(s) this branch office. In addition, in the “Person-in-Charge

Detail” section enter: the CRD number(s) of the Person(s)-in-Charge physically

located at this branch office. Entering the CRD number will populate the individual’s

name. The “Type of Activity” field is optional and allows this branch office to identify

specific lines of business for each supervisor and person-in-charge.

Office of Municipal Supervisory Jurisdiction

If your firm is registered with the Municipal Securities Rulemaking Board

(MSRB), indicate whether or not this branch office is an Office of Municipal

Supervisory Jurisdiction, as defined under MSRB rules. This field is optional. If the

applicant is not registered with MSRB or chooses not to report this information, leave

this field blank.

3. OTHER BUSINESS ACTIVITIES/NAMES/WEBSITES

Other Business Activities

Indicate whether any associated individual conducts, at this branch office, any

investment-related activity in addition to those activities conducted by the applicant

that are identified in Section 2 (Registration/Notice Filing/Type of Office/Activities). If

you answer “yes”, for each such activity, provide the name under which the other

business activity is conducted; describe the activity; and indicate whether the

activity is conducted on behalf of a firm affiliated with the applicant.

Other Business Names

Indicate whether any associated individual conducts any investment-related activity

of the applicant, at this branch office, under any “doing business as” name, other

than those names disclosed on the applicant’s Form BD and/or Form ADV.

Website Addresses

Indicate whether this branch office or any of its associated individuals maintains a

website, other than the primary website address maintained by the applicant. If you

answer “yes”, enter all website addresses maintained by this branch office or any of

its associated individuals.

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Form Br - Uniform Branch Office Registration Form Instructions Page 5

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