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Branch Information Report Mapping document (version 04/2014 vs. version 10/2005) General Notes: Data elements which are no longer part of the Form BR version 04/2014 will also cease to be delivered
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How to fill out finra branch information report
01
The FINRA Branch Information Report is required to be filled out by any firm that intends to establish or operate a branch office in the United States.
02
To start, gather all the necessary information and documents, such as the firm's name, CRD number, and contact details.
03
Begin by entering the basic information about the branch, including its name, address, and phone number.
04
Indicate the type of business conducted at the branch, such as retail sales, investment banking, or trading.
05
Specify the different services offered at the branch, such as mutual funds, municipal bonds, or options.
06
Provide details about any associated persons at the branch, including their names, CRD numbers, and roles.
07
Indicate whether the branch engages in activities that require additional reporting, such as private placements or investment advisory services.
08
In the next section, provide information about any additional branch office locations owned by the firm.
09
Detail any changes or updates to the branch information if applicable, such as changes in personnel or services offered.
10
Finally, review the completed form for accuracy and ensure that all required fields have been filled out.
Who needs the FINRA Branch Information Report?
01
Broker-dealers registered with the Financial Industry Regulatory Authority (FINRA) that intend to establish or operate a branch office in the United States.
02
Firms that engage in various financial activities such as retail sales, investment banking, trading, and offering services like mutual funds, municipal bonds, or options.
03
Any associated persons at the branch, including individuals holding roles such as brokers, agents, or investment advisors.
04
The report helps regulatory authorities monitor and regulate the activities of branch offices to ensure compliance with industry regulations and protect the interests of investors.
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What is finra branch information report?
The FINRA Branch Information Report is a form that branches of broker-dealers must submit to provide information about their operations.
Who is required to file finra branch information report?
Branches of broker-dealers are required to file the FINRA Branch Information Report.
How to fill out finra branch information report?
The FINRA Branch Information Report can be filled out online through FINRA's web portal by providing the required information about the branch's operations.
What is the purpose of finra branch information report?
The purpose of the FINRA Branch Information Report is to provide regulators with information about the operations of broker-dealer branches to ensure compliance with regulations.
What information must be reported on finra branch information report?
The FINRA Branch Information Report requires branches to report information such as address, number of employees, products and services offered, and supervisory structure.
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