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.
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 ⓘ |
Referenced by (1)
Full triples — surface form annotated when it differs from this entity's canonical label.