Current Uniform Registration Forms for Electronic Filing in Web CRD

The Uniform Forms U4 and U5 are used by broker-dealers to register, and terminate the registrations of, associated persons with self-regulatory organizations (SROs) and the jurisdictions. Forms BD and BDW are joint forms used by the Securities and Exchange Commission (SEC), SROs, and the jurisdictions. The forms are used, respectively, to register and to terminate the registrations of broker-dealers.

 

The Form U4 and Form U5 are effective October 31, 2005; they were approved by the SEC on September 30, 2005. The Form BR is effective October 31, 2005 and was approved by the SEC on September 30, 2005. The Form BD was adopted by the SEC on July 2, 1999, and Form BDW was adopted by the SEC on April 30, 1999. 

 

Effective February 4, 2008, technical changes were made to the Forms U4, U5, BR, BD and BDW that, among other things, reflect the FINRA name change and update the current list of SROs, government jurisdictions and registration categories listed on the Forms. See FINRA Regulatory Notice 08-03 for further information.

 

• Form U4 (PDF 7,139 KB) (effective October 31, 2005)
• Form U4 Instructions (PDF 125 KB)
• Form U5 (PDF 5,184 KB) (effective October 31, 2005)
• Form U5 Instructions (PDF 89 KB)
• Form BD (PDF 272 KB) (effective July 30, 1999)
• Form BDW (PDF 59 KB) (effective August 1, 1999)
• Form BR (PDF 2,249 KB) (effective October 31, 2005)
• Form BR Instructions (PDF 58 KB)
• Form U6 for CRD Individual (PDF 132 KB)
• Form U6 for Disclosure Only Individual (PDF 132 KB)
• Form U6 for CRD/IARD Organization (PDF 125 KB)
• Form U6 for Disclosure Only Organization (PDF 125 KB)
• Explanation of Terms (PDF 53 KB)

 

In connection with the revised forms, FINRA has created a "Uniform Forms Reference Guide" to provide member firms and other users of the forms with contact and other explanatory information for filers.

 

For blank copies of the new Uniform Registration Forms, you may: 

 

• Print copies of the new forms from this Web site or from the Web CRD System site map;
• Forms BD and BDW are available on the SEC Web site. Paper copies of the Form BD and Form BDW may be obtained from the SEC’s Office of Publications.

 

Information regarding the approval/adoption of these forms can be found in SEC Release No. 34-48161 for Forms U4 and U5, SEC Release No. 34-45531 for the Form BD, and SEC Release No. 34-41356 for the Form BDW on the SEC Web site.

 

If you should have any questions regarding the new Uniform Registration Forms, please contact the Gateway Call Center at (301) 869-6699.