Online Forms and Filing Portals

Broker-Dealer and Agent Licensing

  • Form BD (Uniform Application for Broker-Dealer Registration)
  • Form BDW (Uniform Request for Broker-Dealer Withdrawal)
  • Form U4 (Uniform Application for Securities Industry Registration or Transfer)
  • Form U5 (Uniform Termination Notice for Securities Industry Registration)
  • Form U10 (Uniform Examination Request for non-FINRA Candidates)
  • Form 4-5 BA (Indemnity Bond of Agent)
  • Form 4-5 BBD (Corporate Indemnity Bond of Broker-Dealer)
  • Form 4-5 EIA (Escrow Agreement)

Investment Adviser and Representative Licensing

Securities Registration, Exemptions, and Notices