New Filing Requirement for Investment Advisers and Broker-Dealers

Posted on October 18, 2005 by
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As of the end of October, the NASD will institute a new Form available through WebCRD. The new form, Form BR, is intended to disclose information pertaining to a firm's branch office(s). Many states have already issued releases on the matter, requiring submission of Form BR by certain broker-dealers and state registered investment advisers, and other states are currently considering the utility of the form. It is anticipated that submission of the new Form BR will require the concurrent payment of a filing fee. All firms are advised to contact counsel and/or the securities bureau for the state within which the firm is registered to ascertain the applicability of Form BR to that particular firm's circumstance and situation.

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