These filings are to be submitted through the CRD system if the broker-dealer is a FINRA member. If the broker-dealer is not a FINRA member, then the filings must be submitted directly to the Bureau.
CHANGE OF CONTROL
No fee. Submit Form BD Schedule C
ALL OTHER AMENDMENTS TO FORM BD
No fee. Submit amended pages of Form BD through Web CRD. If a Schedule E filing involves a New Hampshire branch office, notice of such opening, closing, or change of address or branch manager must be submitted directly to the Bureau on a copy of Schedule E, or in a letter containing the required information.