State Branch Office Registration and Notice Filing Information

NASAA representatives participated in the development of the Uniform Branch Office Registration Form (Form BR). This form permits jurisdiction and self regulatory organization branch office application, amendment, termination, and withdrawal processing through a single filing with Web CRD. Form BR is scheduled for implementation in Web CRD on Monday, October 31, 2005. To accommodate the conversion of current state, NASD, and NYSE branch office information, there will be a branch office registration lock out period beginning October 15, 2005 through October 30, 2005. During this period, Web CRD will not accept any branch office filings. If a firm must register or notice file a state branch office during that time, please contact that state for specific instructions.

Please review the following tables that list the branch filing requirements in Web CRD for those states that register or notice file branch offices. These states will begin to use Form BR for branch office registration or notice filing in their state when the new form is implemented (October 31, 2005).

Please note that a number of the registration filing states will not use Web CRD for this year’s branch office renewal processing. These states include Florida, Nevada and Vermont. Please submit your branch renewal information to these states as you have done in the past.

For further information on individual state branch office registration or notice filing requirements through Web CRD, contact the individual state.

 State Branch Office Registration Requirements

State Branch Office Notice Filing Requirements