Form BR
Form BR is the Uniform Branch Office Registration Form. Firms use it to register, update, transfer, and close branch offices with FINRA and the states through the CRD system, filing a single form that satisfies multiple jurisdictions.
- Who handles it
- Broker-dealers and investment advisers registering or maintaining branch office locations.
- Filed through
- FINRA Gateway
- Applies to
- Broker-dealer, State-registered RIA, Dually registered
What the form asks for
- Branch office identifying information and address
- Registration and notice filing jurisdictions
- Types of business conducted at the location
- Associated persons and the supervisor on record
- Other business activities at the location
The work behind the filing
Detect the location change before the regulator does
Branch data goes stale quietly. An advisor moves, a supervisor changes, a location closes, and the CRD record keeps saying otherwise. Caddi can reconcile the branch record against the HR and CRM systems of record and surface the divergence.
Keep supervision assignments consistent
The supervisor named on the branch record should match the supervisor named in the Part 2B supplement and the firm's written supervisory procedures. Caddi can reconcile the three and flag the mismatch.
Questions
What is Form BR?
Form BR is the Uniform Branch Office Registration Form, used to register, update, transfer, and close branch offices with FINRA and the states through CRD.
Why do branch office records drift out of date?
Because offices open, move, close, and change supervisors, and each of those is a facilities or HR event rather than a compliance one. The record in CRD reflects a moment in time; keeping it matching reality means watching systems compliance does not own.
What triggers a Form BR amendment?
Address changes, a change in the supervisor on record, changes to the activities conducted at the location, and closure.
Does Caddi file this form for me?
No. Caddi does not submit filings to IARD, FINRA Gateway, EDGAR, or any regulator, and it is not a substitute for your compliance program or your CCO. Caddi automates the work around the filing: gathering the underlying data out of your portfolio, CRM, and document systems, reconciling it against the prior filing, flagging what changed, and evidencing delivery. A human still reviews and files.
Related forms
The filing is the easy part
Caddi does not file forms. It runs the work around them: pulling the underlying data out of your portfolio, CRM, and document systems, reconciling it against the prior filing, and evidencing delivery. See it run on your own stack.
See the compliance specialistThis page describes what the form is and the work it creates. For requirements, deadlines, and whether any of it applies to your firm, see FINRA — Form BR.