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Amendment Filings by Broker-Dealers and Agents

Amendment Filings for FINRA Broker-Dealer Agents

Under §31-5602.04 (d) of the District of Columbia's Securities Act, when information contained in any document filed with the Securities Bureau is, or becomes, inaccurate or incomplete, Broker-Dealers must update the information by filing an amendment as soon as the change occurs. If the Broker-Dealer is a FINRA member firm and the Broker-Dealer has changes of address or principal office, changes to the Forms BD, U-4 or U-5, changes to the firm's net capital, or any other changes to the Firm or its Agents, the Broker-Dealer is required to submit an Amendment filing. An Amendment filing must be filed through WebCRD. Please see Law Available Online for links to the DC Securities Act of 2000 and the implementing regulations.

Amendment Filings for Non-FINRA Broker-Dealer Agents

Under §31-5602.04 (d) of the District of Columbia's Securities Act, when information contained in any document filed with the Securities Bureau is, or becomes, inaccurate or incomplete, Broker-Dealers must update the information by filing an amendment as soon as the change occurs. If the Broker-Dealer is a non-FINRA member firm and the Broker-Dealer has changes of address or principal office, changes to the Forms BD, U-4 or U-5, changes to the firm's net capital, or any other changes to the Firm or its Agents, the Broker-Dealer is required to submit an Amendment filing. An Amendment filing must be filed directly with DISB. Please see Law Available Online for links to the DC Securities Act of 2000 and the implementing regulations.