BD- FINRA Broker-Dealer Firm Name Reservation Request Form

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As one of the first steps in the FINRA Broker-Dealer Registration Application process, the FINRA Firm Name Reservation Request Form is needed to request and reserve a proposed name for your firm before making any other submissions to FINRA.  New member applicants are required to submit proposed firm names to FINRA's Regulatory Review and Disclosure Department for review to determine any conflicts with existing member names and compliance with federal law. New names, whether requested by applicants or by existing members that seek a name change, are subject to review as prescribed under the By-Laws.

Version/Update: V.U/Verif. March 22, 2018

Total Page Count: 1

Source/Author(s): FINRA