Broker-Dealer FINRA Forms
The following are FINRA forms.
These forms are also available from the Division in hard copy and can be requested by e-mail from Trang Pham at Trang.Pham@dfi.wa.gov or you can call her at 360-902-8738 to request the forms.
Form BD (PDF)* - Uniform Application for Broker-Dealer Registration
Form BDW (PDF)* - Uniform Request for Broker-Dealer Withdrawal
Salesperson Form (PDF)* (U-4) - Uniform Application for Securities Industry Registration or Transfer
Agent Termination Form (PDF)* (U-5) - Uniform Termination Notice for Securities Industry Registration
- Exams Form (U-10) - Uniform Examination Request for Non-FINRA Candidates.
* To open a PDF file, and you will need Adobe Acrobat Reader to view it. If you don't already have Acrobat Reader installed on your computer, you may download it for free from Adobe. You may fill out PDF forms online and print them. You may save blank copies of PDF forms on your own computer.