Amendments to Form BD

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    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.