BD- FINRA Custodian Consent Form


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FINRA's Custodian Consent Form was created as a result of amendments, effective August 19, 2019, to FINRA Rule 4570 Custodian Books and Records.  The Custodian Consent Form provides the option for a member firm that is filing a Form BDW (Uniform Request for Broker-Dealer Withdrawal) to designate a custodian of its books and records and clarifies the obligations when acting as the designated custodian.  The Designated Custodian for terminating firms must send the completed Custodian Consent Form as a scanned email attachment to BDW@finra.org.  Members also downloaded the Broker-Dealer Withdrawal (Form BDW) Preparation & Filing Checklist and the SEC Broker-Dealer Withdrawal Form BDW.

Version/Update: V.U/Verif. November 30, 2021

Total Page Count/Format: 1/.pdf (form filler)

Source/Author(s): FINRA