Broker Dealer
BD Registration Packet - FINRA (PDF)
FINRA Members Only
BD Registration Packet - Non-FINRA (PDF)
Non-FINRA Members Only
Form BD
BD Instructions
Form BD-W
BDW Instructions
Investment Advisor (IA)
ADV Form
Instructions and Forms
Investment Adviser Registration Packet (PDF)
Instructions and Filing Requirements
ADV-W
ADV- W Instructions
IARD State Registrant Entitlement Packet
Entitlement Instructions
IARD Firm's User Manual
Quick Reference Guide
IA Representative/Broker Dealer Agent
FINRA Registration Forms (Forms U4, U5, U6, BD and BR)
FINRA is responsible for the Central Registration Depository (CRD) program, which supports the licensing and registration filing requirements of the U.S. securities industry and its regulators. The Uniform Registration Forms are periodically revised to incorporate various changes to the forms. The most recent versions of the forms, instructions and other resources are available here. Enroll for an exam.
IA Notice Filers
Investment Adviser Notice Filing Packet (PDF)
Notice Filing Instructions
Form ADV
Instructions and Forms
Form ADV-W
ADV-W Instructions
IARD State Registrant Entitlement Packet
Entitlement Instructions
IARD Firm's User Manual
Quick Reference Guide
Corporation Finance
Form 203-O (PDF)
Proxy Materials under Section 203o
Form 203-P (PDF)
Debt Securities of Nonprofits under Section 203p
Form 207-J (PDF)
Continuation of Section 205 Registration
Form 209 (PDF)
Report on use of proceeds
Form 210 (PDF)
Retroactive Registration of Securities
SEC Form D
Exemptions under Section 211b
Form E (PDF)
Exemptions under Sections 203d, 203t
Form R (PDF)
Securities Registration Form, supplement to Form U-1
Form U-1 (PDF)
Uniform Application to Register Securities
Form U-7 (PDF)
Small Company Offering Registration Form
Form NF (PDF)
Uniform Investment Company Notice Filing
Form RO (PDF)
Rescission Offer
SOI Form (PDF)
Solicitation of Interest
SOI Form Supplement (PDF)
Solicitation of Interest Supplement
Form TDL-1 (PDF)
Takeover Disclosure Law