Series 14: 7.2.1.5. State Registration

7.2.1.5. State Registration

Broker-dealers are also required to register in any state in which they are principally located or intend to do business. Registration requirements differ from state to state. Most states permit broker-dealers to register by submitting a Form BD through FINRA’s Central Registration Depository and then clicking on the various states in which they intend to operate. State regulators often require additional information as w