Forms and Fees

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Broker Dealers

BD Information	Broker Dealer Information – Lists requirements to register	None
Affidavit of No Sales	Affidavit of No Sales	None
Access FINRA	Broker Dealer Licensing Application	$300
Access FINRA	Renewal Fee	$300
Access FINRA	Broker Dealer Withdrawal (Form BDW)	None
Access FINRA	Broker Dealer Agent Licensing (Form U4)	$50
Access FINRA	Renewal Fee	$50
Access FINRA	Broker Dealer Agent Termination(Form U5)	None
	Broker Dealer Name Change Fees	$50
Access FINRA	Mass Transfer Fee (per Agent)	$50
Access FINRA	Issuer Sales Representative Licensing Application (Form U4)	$50
	Renewal Fee	$50
Form U2	Uniform Consent to Service of Process	None

To contact FINRA/CRD

To contact FINRA/IARD