Branch Office | Practical Law

Branch Office | Practical Law

Branch Office

Branch Office

Practical Law Glossary Item 3-589-4535 (Approx. 3 pages)

Glossary

Branch Office

Any location where one or more associated persons of a broker-dealer conducts or holds itself out as conducting the business of effecting transactions in, or soliciting the purchase or sale of, any security. A broker-dealer is required to register branch offices with FINRA through the Central Registration Depository (CRD).
For more information on branch offices of broker-dealers, see: Practice Note, Broker-Dealer Registration: Overview and Practice Note, FINRA Supervision Rules.