BD Industry Forms
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Broker Dealer

	Form Name	Description	Download
	Form U-4	Uniform Application for Securities Industry Application or Transfer	Download
	Form U-4 Instructions	Uniform Application for Securities Industry Application or Transfer Instructions	Download
	Form U-5	Uniform Termination Notice for Securities Industry Registration	Download
	Form U-5  Instructions	Uniform Termination Notice for Securities Industry Registration Instructions	Download
	Form U-10	Uniform Examination Request for Non-NASD Candidates	Download
	Form BD	Uniform Application for Broker Dealer Registration	Download
	Form BDW	Uniform Request for Broker Dealer Withdrawal	Download
	Form BD-N	Notice of registration as a Broker Dealer for the purpose of trading security futures products pursuant to Section 15(b)(11)	Download
	Form BR	Uniform Branch Office Registration Form	Download
	Form BR Instructions	Uniform Branch Office Registration Form Instructions	Download
	Form 17-H	Risk Assessment for Brokers & Dealers	Download
	Form X-17A-5 Schedule I	(Financial and Operational Combined Uniform Single) FOCUS Report: Information Required of All Brokers and Dealers Pursuant to Rule 17a-5	Download
	Form X-17A-5 Part I	FOCUS Report, Part I	Download
	Form X-17A-5 Part II	FOCUS Report, Part II	Download
	Form X-17A-5 Part II	FOCUS Report, Part II Instructions	Download
	Form X-17A-5 Part IIA	FOCUS Report Part IIa	Download
	Form X-17A-5 Part IIA	FOCUS Report Part IIa Instructions	Download
	Form X-17A-5 Part IIB	FOCUS Report, Part IIb (OTC Derivatives Dealer)	Download
	Form X-17A-5 Part III	FOCUS Report: Information Required of All Brokers and Dealers Pursuant to Rule 17a-5, Part III	Download