SEC Forms

Form BD
The Form BD is the Uniform Application for Broker-Dealer Registration. Broker-Dealers must file this form to register with the SEC, self-regulatory organizations (SROs) and jurisdictions through the Central Registration Depository (CRD) system, which is operated by the Financial Industry Registry Authority (FINRA).

Broker-dealer applicants must file a hard-copy version of the Form BD with the Securities and Exchange Commission. Once the initial filing is received, all pertinent information will be entered in the Central Registration Depository ("Web-CRD"), a FINRA-operated database that maintains broker-dealer registration information for the Securities and Exchange Commission, self-regulatory organizations and state securities regulators. 

In order to file subsequent amendments to the Form BD, broker-dealers must complete a User Account Acknowledgment Form (UAAF) to designate an Account Administrator, who will be responsible for accessing the broker-dealer account on Web-CRD and filing subsequent amendments to their Form BD. The Account Administrator will serve as the contact person between the broker-dealer and Web-CRD.

For the Initial Registration, please mail your Form BD to the following Address:

FINRA Central Registration Depository
P.O. Box 9495
Gaithersburg, MD  20898-9495

Form U-4
The Form U-4 is the Uniform Application for Securities Industry Registration or Transfer. Representatives of broker-dealers, investment advisers, or issuers of securities must use this form to register in the appropriate jurisdictions and/or SROs. A full Form U-4 is required when filing for the first time. An applicant is under a continuing obligation to update information on their Form U-4 as changes occur. Form U-4 Instructions 

FINRA Membership
Broker-dealers also have the option to apply for FINRA Membership. For more information about becoming a FINRA member, please visit FINRA's website.