Syndicate Legal Advisory Services provides nationwide legal document preparation services for entities seeking to register as a broker-dealer with the Securities and Exchange Commission (SEC) using Form BD (Uniform Application for Broker-Dealer Registration). We prepare and complete Form BD and related documents, including (but not being limited to), ownership details, business activities, disciplinary disclosures, and specific instructions you provide.
Documents Commonly Prepared
We prepare a full range of documents associated with broker-dealer registration using Form BD, including but not limited to:
- Form BD: Completion of the Uniform Application for Broker-Dealer Registration (Form BD), including all schedules and disclosure sections, based on the information you supply.
- Amendments to Form BD: Amendments updating registration information, prepared from the changes and details you provide.
- Withdrawal Documents: Form BDW (Uniform Request for Broker-Dealer Withdrawal) or related withdrawal forms, based on client instructions.
- Related Registration Forms: Supporting forms commonly filed in connection with Form BD, such as Form BR (Uniform Branch Office Registration Form), Form U4 (for associated persons, based on information you supply), or other related schedules and consents, as directed by you.
- Supporting Statements and Exhibits: Affidavits, financial statements summaries, ownership schedules, or other supporting materials organized from client-supplied information.
- Related Supporting Materials: Exhibits incorporating client-supplied organizational documents, financial information, or other materials referenced in the filings.
Documents are prepared for use in connection with filings through the Central Registration Depository (CRD) system and any required hard-copy submissions (subject to the information you provide). Broker-dealer registration involves simultaneous filings with the SEC, FINRA (or another SRO), and applicable states, and is subject to complex regulatory requirements, net capital rules, membership standards, and ongoing compliance obligations; clients remain fully responsible for electronic filing via CRD, notarization and hard-copy submission where required, payment of fees, and compliance with all SEC, FINRA, SRO, and state requirements.
