Rev. Form BR (04/2014) Uniform Branch Office Registration Form GENERAL INSTRUCTIONS The Uniform Branch Office Registration Form (Form BR) is the form used for branch office registration, notification, closing or withdrawal. Broker-Dealers and Investment Advisers must use Form BR to register or notice file their branch offices in the appropriate participating jurisdictions and/or with self-regulatory organizations (SROs). These instructions apply to the filing of Form BR electronically with the Central Registration Depository ("CRDŽ"). Filers submitting paper filings should read the Special Instructions For Paper Filers (Jurisdictions Only) in conjunction with the other instructions to Form BR. In addition, paper filers should contact the appropriate jurisdiction for specific filing instructions or requirements. Filers must answer all questions and submit all requested information, unless otherwise directed in the Specific Instructions. Upon request, filers may be required to provide documents to clarify or support responses to Form BR. An applicant is under a continuing obligation to promptly update Form BR whenever the information becomes inaccurate or incomplete. Amendments must be filed electronically (unless the filer is an approved paper filer) by promptly updating the appropriate section of Form BR. Note: The SROs and most jurisdictions require that an amendment be filed not later than 30 days after the applicant learns of the facts and circumstances giving rise to the amendment. Some jurisdictions require approval of a branch office before business can be conducted at a branch office location. Filers should contact the appropriate SRO or jurisdiction with any questions relating to Form BR or branch registration/notice filing requirements. Electronic Filing Instructions An applicant must file a complete Form BR to register or notice file a branch office with the CRD system for the first time. All questions must be answered and all sections/fields requiring a response must be completed before the filing will be accepted. The applicant must complete Section 8 (Signature) to certify that Form BR and amendments thereto have been executed properly and that the information contained therein is accurate and complete. To amend information, the applicant must update the appropriate Form BR sections. 1 of 17 American LegalNet, Inc. www.FormsWorkFlow.com Rev. Form BR (04/2014) Special Instructions For Paper Filers (Jurisdictions Only) Some jurisdictions may require a separate paper filing of Form BR. The applicant should contact the appropriate jurisdiction(s) for specific filing requirements. Type applicable information. Provide the name of the applicant and the date on each page. Use only the current version of Form BR, or a reproduction of the form. For an amendment to Form BR, circle the number of any item for which you are changing your response on Form BR and complete Section 8 (Signature). On an initial Form BR filing, attach Section 8 (Signature) with original manual signatures. The sections of Form BR are as follows: 1. 2. 3. 4. 5. 6. 7. 8. GENERAL INFORMATION REGISTRATION/NOTICE FILING/TYPE OF OFFICE/ACTIVITIES OTHER BUSINESS ACTIVITIES/NAMES/WEBSITES BRANCH OFFICE ARRANGEMENTS ASSOCIATED INDIVIDUALS BRANCH OFFICE CLOSING BRANCH OFFICE WITHDRAWAL (PENDING APPLICATION) SIGNATURE 2 of 17 American LegalNet, Inc. www.FormsWorkFlow.com Rev. Form BR (04/2014) SPECIFIC INSTRUCTIONS Completing Form BR 1. GENERAL INFORMATION Applicant CRD Number The applicant's CRD number will be prepopulated based on the information filed by the applicant on the Form BD or the Form ADV. Applicant Name The applicant's name will be prepopulated based on the information filed by the applicant on the Form BD or the Form ADV. Address Street 1/Street 2 The address where the applicant's principal place of business is physically located. This information will be prepopulated based on the information filed by the applicant on the Form BD or the Form ADV. City The name of the city where the applicant's principal place of business is physically located. This information will be prepopulated based on the information filed by the applicant on the Form BD or the Form ADV. State The name of the state where the applicant's principal place of business is physically located. This information will be prepopulated based on the information filed by the applicant on the Form BD or the Form ADV. Country The country where the applicant's principal place of business is physically located. This information will be prepopulated based on the information filed by the applicant on the Form BD or the Form ADV. Postal Code The postal code where the applicant's principal place of business is physically located. This information will be prepopulated based on the information filed by the applicant on the Form BD or the Form ADV. Firm Billing Code A number selected by the applicant for its internal billing purposes. A firm billing code consists of up to eight alpha/numeric characters. This field is optional. If the applicant does not use billing codes, leave this field blank. Branch Code Number A number selected by the applicant to identify an applicant's branch office. The branch code number can be up to fifteen alpha/numeric characters, and may be the same as the firm billing code. This field is optional. If the applicant does not use branch code numbers, leave this field blank. CRD Branch Number The CRD branch number for this office is assigned by the CRD system to identify this branch office of the applicant. Branch Address Street 1/Street 2 Enter the address where this branch office is physically located. A complete address must be furnished. Enter the actual street address in Branch Address Street 1 - post office boxes are not acceptable in this field. Enter additional identifying information in Branch Address Street 2, if necessary. 3 of 17 American LegalNet, Inc. www.FormsWorkFlow.com Rev. Form BR (04/2014) City Enter the name of the city where this branch office is physically located. State Enter the state where this branch office is physically located. Note: If the applicant files a Form BR amendment to relocate this branch office to another state, the amendment filing represents the applicant's acknowledgement that it is closing this branch office in the current state. In addition, if the applicant is relocating this branch office to a state that requires branch office registration or notice filing, the amendment filin