Broker-Dealer Uniform Application
E512106
Broker-Dealer Uniform Application is the standardized regulatory form used in the United States for firms to apply for registration as broker-dealers with the SEC, FINRA, and state securities authorities.
All labels observed (1)
| Label | Occurrences |
|---|---|
| Broker-Dealer Uniform Application canonical | 1 |
How this entity was disambiguated
This entity first appeared as the object of triple T5340741 — resolving that mention is where its identity was fixed. The disambiguator weighed these candidate entities and picked the highlighted one (or “None”, minting a new entity). This is how homonymy is resolved: the same surface form can point to different entities.
NED1
Entity disambiguation (via context triple)
gpt-5-mini-2025-08-07
Target entity: Broker-Dealer Uniform Application Context triple: [Form BD, abbreviationOf, Broker-Dealer Uniform Application]
-
A.
Investment Adviser Registration Depository
The Investment Adviser Registration Depository (IARD) is an electronic filing system operated by FINRA that facilitates the registration, filing, and public disclosure of information about investment advisers in the United States.
-
B.
FINRA
FINRA is a U.S. self-regulatory organization that oversees brokerage firms and exchange markets to protect investors and maintain market integrity.
-
C.
Series 65 exam
The Series 65 exam is a U.S. securities licensing test that individuals must pass to qualify as investment adviser representatives authorized to provide investment advice for a fee.
-
D.
National Association of Securities Dealers
The National Association of Securities Dealers (NASD) was a self-regulatory organization that oversaw U.S. broker-dealers and securities markets before its regulatory functions were consolidated into the Financial Industry Regulatory Authority (FINRA).
-
E.
BSA E-Filing System
The BSA E-Filing System is an online platform used by financial institutions and other obligated entities in the United States to electronically submit Bank Secrecy Act reports and related regulatory filings.
- F. None of above. chosen
- G. Unsure - the case is ambiguous/there is not enough information to decide.
NED2
Entity disambiguation (via description)
gpt-5-mini-2025-08-07
Target entity: Broker-Dealer Uniform Application Target entity description: Broker-Dealer Uniform Application is the standardized regulatory form used in the United States for firms to apply for registration as broker-dealers with the SEC, FINRA, and state securities authorities.
-
A.
Investment Adviser Registration Depository
The Investment Adviser Registration Depository (IARD) is an electronic filing system operated by FINRA that facilitates the registration, filing, and public disclosure of information about investment advisers in the United States.
-
B.
FINRA
FINRA is a U.S. self-regulatory organization that oversees brokerage firms and exchange markets to protect investors and maintain market integrity.
-
C.
Series 65 exam
The Series 65 exam is a U.S. securities licensing test that individuals must pass to qualify as investment adviser representatives authorized to provide investment advice for a fee.
-
D.
National Association of Securities Dealers
The National Association of Securities Dealers (NASD) was a self-regulatory organization that oversaw U.S. broker-dealers and securities markets before its regulatory functions were consolidated into the Financial Industry Regulatory Authority (FINRA).
-
E.
BSA E-Filing System
The BSA E-Filing System is an online platform used by financial institutions and other obligated entities in the United States to electronically submit Bank Secrecy Act reports and related regulatory filings.
- F. None of above. chosen
Statements (46)
| Predicate | Object |
|---|---|
| instanceOf |
securities registration form
ⓘ
standardized application form ⓘ |
| appliesTo |
FINRA member firms
ⓘ
SEC-registered broker-dealers ⓘ state-registered broker-dealers ⓘ |
| associatedWith |
U.S. broker-dealer licensing
ⓘ
uniform forms program ⓘ |
| country |
United States of America
ⓘ
surface form:
United States
|
| filedVia |
CRD system
ⓘ
Central Registration Depository NERFINISHED ⓘ |
| governsDomain |
broker-dealer supervision
ⓘ
securities regulation ⓘ |
| hasPurpose |
facilitate multi-jurisdictional registration
ⓘ
provide uniform disclosure to regulators ⓘ standardize broker-dealer registration information ⓘ |
| language | English ⓘ |
| regulatesActivity | broker-dealer registration ⓘ |
| regulatoryArea |
federal securities regulation
ⓘ
self-regulatory organization oversight ⓘ state securities regulation ⓘ |
| requiresComplianceWith |
FINRA rules
ⓘ
Securities Exchange Act of 1934 NERFINISHED ⓘ state blue sky laws ⓘ |
| requiresDisclosureOf |
affiliated entities
ⓘ
branch office locations ⓘ business activities of the firm ⓘ control persons ⓘ disciplinary history ⓘ financial information ⓘ ownership and control of the firm ⓘ regulatory actions ⓘ |
| sector |
capital markets
ⓘ
financial services ⓘ |
| submittedTo |
FINRA
NERFINISHED
ⓘ
Financial Industry Regulatory Authority NERFINISHED ⓘ SEC NERFINISHED ⓘ U.S. Securities and Exchange Commission NERFINISHED ⓘ state securities authorities ⓘ state securities regulators ⓘ |
| usedBy |
broker-dealer firms
ⓘ
securities firms ⓘ |
| usedFor | application for broker-dealer registration ⓘ |
| usedInJurisdiction | United States NERFINISHED ⓘ |
| usedInProcess |
amendment of broker-dealer registration
ⓘ
initial broker-dealer registration ⓘ withdrawal of broker-dealer registration ⓘ |
How these facts were elicited
The pipeline generated the facts above by prompting gpt-5.1 with this entity's name + description and the instruction below.
Instruction
You are a knowledge base construction expert. Given a subject entity and a description of it, return factual statements that you know for the subject as a JSON list of dictionaries(triples), where keys must be "subject", "predicate" and "object". The number of facts may be very high, between 25 to 50 or more, for very popular subjects. For less popular subjects, the number of facts can be very low, like 5 or 10. # Requirements - If you don't know the subject at all, return an empty list. - If the subject is not a named entity, return an empty list. - Include at least one triple where predicate is "instanceOf". - Do not get too wordy. - Separate several objects into multiple triples with one object.
Input
Subject: Broker-Dealer Uniform Application Description of subject: Broker-Dealer Uniform Application is the standardized regulatory form used in the United States for firms to apply for registration as broker-dealers with the SEC, FINRA, and state securities authorities.
Referenced by (1)
Full triples — surface form annotated when it differs from this entity's canonical label.