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Utah Uniform Request for Broker-Dealer Withdrawal

Category:
Department of Commerce - Blue Sky - Securities
State:
Utah
Control #:
UT-SKU-0025
Format:
PDF
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Description

Uniform Request for Broker-Dealer Withdrawal
The Utah Uniform Request for Broker-Dealer Withdrawal (URBAN) is a form used to withdraw a broker-dealer from the Utah Division of Securities. URBAN must be completed and delivered to the division in order to be effective. It is a two-page form that requires the broker-dealer to provide detailed information about its business and financial activities. The form also requires the broker-dealer to provide proof of compliance with state and federal securities laws and regulations. There are two types of URBAN: a full withdrawal form and a partial withdrawal form. A full withdrawal form is used when the broker-dealer is ceasing all activities in the state and completely withdrawing from the division. A partial withdrawal form is used when the broker-dealer is withdrawing from certain activities, but not completely withdrawing from the division.

The Utah Uniform Request for Broker-Dealer Withdrawal (URBAN) is a form used to withdraw a broker-dealer from the Utah Division of Securities. URBAN must be completed and delivered to the division in order to be effective. It is a two-page form that requires the broker-dealer to provide detailed information about its business and financial activities. The form also requires the broker-dealer to provide proof of compliance with state and federal securities laws and regulations. There are two types of URBAN: a full withdrawal form and a partial withdrawal form. A full withdrawal form is used when the broker-dealer is ceasing all activities in the state and completely withdrawing from the division. A partial withdrawal form is used when the broker-dealer is withdrawing from certain activities, but not completely withdrawing from the division.

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FAQ

The Uniform Securities Act (USA) explicitly names three persons that are consistently excluded from the definition of a broker-dealer: Agents. Issuers. Banks, savings institutions, and trust companies.

Amendment Form: An amendment Form U5 is used to update or amend disclosure, date of termination, reason for termination and residential information for an individual previously terminated.

?Broker-dealer? does not include (1) an agent, (2) an issuer, (3) a bank, savings institution, or trust company, (4) a person who has no place of business in this state if (A) he or she effects transactions in this state exclusively with or through (i) the issuers of the securities involved in the transactions, (ii)

Submit Form U5 to terminate registration for individuals registered with the firm. All Form U5s must be submitted within 60 calendar days from the BDW filing date. The Designated Custodian for terminating firms must send the completed Custodian Consent Form as a scanned email attachment to BDW@finra.org.

All of the entities listed qualify for exemption from the definition of an investment advisor under the Uniform Securities Act except for the person who charges a fee to provide financial advice on investment companies such as mutual funds.

Under the Uniform Securities Act, all of the following are specifically excluded from the definition of a broker-dealer EXCEPT. investment advisers. Banks, issuers, agents, and certain out-of-state broker-dealers are excluded from the definition of broker-dealer.

The Form U4 (Uniform Application for Securities Industry Registration or Transfer) is used to establish that registration. FINRA, other self-regulatory organizations (SROs) and jurisdictions use the Form U4 to elicit employment history, disciplinary and other information about individuals to register them.

All of the following are EXCLUDED from the definition of a broker-dealer under the Uniform Securities Act EXCEPT a firm with no place of business in the State that: -has a few clients in the State with a de minimis exemption. -deals exclusively with issuers of securities. -deals exclusively with other broker-dealers.

Utah Uniform Request for Broker-Dealer Withdrawal Related Searches

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More info

1. Broker-Dealers must file Form BDW to withdraw their registration from the Securities and Exchange Commission ("SEC"),. A form which securities broker-dealers must submit to the Securities and Exchange Commission (SEC), to terminate status as a registered broker.Form BDW Uniform Request For Broker Dealer Registration (SEC1500) Form. 2 17 CFR 249.501a. Notices of termination shall be filed on the Form BDW, Uniform Request for Broker-Dealer Withdrawal. Termination filings shall be made through Online Services. To terminate a broker-dealer registration, a firm should file a Form BDW - Uniform Request for Broker-Dealer Withdrawal through the CRD system. Withdrawal from Registration as a Broker-Dealer). Below is a list of forms available from the Securities Division. Uniform Request for Broker Dealer Withdrawal (Form BDW) (04-07).

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