Form Br - Uniform Branch Office Registration Form Instructions (Page 6 of 9) in pdf

Rev. Form BR (04/2014)

4. BRANCH OFFICE ARRANGEMENTS

Arrangements

Indicate whether this branch office occupies, shares space with, or jointly markets

with, any other investment-related entity. If you enter “yes”, enter the CRD number

(if applicable), name and type of entity.

Indicate whether this branch office is a business location that operates pursuant to a

written agreement or contract (other than an insurance agency agreement) with the

main office. If you answer “yes”, enter the CRD number (if applicable), name and

type of person.

Indicate whether this branch office has primary responsibility for decisions relating to

the employment and remuneration for associated individuals at this location.

Indicate whether any person other than the applicant has responsibility, directly or

indirectly, for paying the expenses of this branch office or otherwise has a financial

interest in this branch office or its activities. If you answer “yes”, provide details for

each person responsible for expenses or with a financial interest and an explanation

of the arrangements.

Books and Records

Indicate whether any of the records pertaining to this branch office are maintained at

any other location, not including this branch office, the main office, or in the case of

a non-OSJ, the supervisory OSJ. If “yes”, provide the address of the location(s) and

the contact person’s name, telephone and email address (optional).

5. ASSOCIATED INDIVIDUALS

Initial Filings Only: Enter the name and/or CRD number of all registered individuals,

other than the Supervisor(s)/Person(s)-in-Charge listed in Section 2

(Registration/Notice Filing/Type of Office/Activities), who will be associated with this

branch office upon the opening of this branch office. Entering the CRD number will

populate the individual’s name. Note: This section will appear and be required to be

completed only for initial branch office filings. To associate a registered individual

with a branch office after the initial branch office filing, update the office of

employment address on that individual's Form U4.

6. BRANCH OFFICE CLOSING

If you are closing a branch office registered or notice filed with an SRO or

jurisdiction, complete the following information.

Date operations ceased, or will cease, at the branch office

Enter the month, day, and year this branch office closed or intends to close.

Location of Books and Records

Address Street 1/Street 2

Enter the address of the location (or locations, if more than one) of the books and

records for this branch office.

City

Enter the name of the city of the location (or locations, if more than one) of the

books and records for this branch office.

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Form Br - Uniform Branch Office Registration Form Instructions Page 6