The Department of Financial Protection and Innovation


Portal Filing Instructions for Franchise Registrations 18-Feb Franchise Investment Law Surety Bond 21-Sep PDF Residential Mortgage Lender 25102.1(a) Form 1-A Regulation A Offering Statement Under the Securities Act of 1933 21-Sep PDF Securities 25102.1(d) Notice of Exempt Offering of Securities – Form D 21-Sep PDF Securities 2923.3 C2 Summary of Notice of Default 21-Jan PDF 2923.3 D2 Summary of Notice of Sale 21-Jan PDF BCIA 8016 Request for Live Scan Service ( BCIA 8016) 20-Apr PDF California Residential Mortgage Lending Act (CRMLA) CFPB CFPB Loan Estimate (PDF) 14-Feb PDF DFPI-25206.1 Statement of Information for Finder 20-Dec PDF Broker-Dealer and Investment Adviser Division(BDIA) DFPI-02 Personal Financial Statement 20-Oct PDF Commercial Bank, Foreign (Other Nation) Bank,Money Transmitter, Trust Company and Department DFPI-03 Confidential Resume 20-Oct PDF Commercial Bank, Foreign (Other Nation) Bank, Money Transmitter, Trust Company and Department DFPI-09 This Form has been replaced by form DFPI-803. 17-May PDF DFPI-10 Application for Authority to Organize Bank 20-Oct PDF Commercial Bank, Industrial Bank, Trust Company and Department DFPI-1002 Local Agency Deposits Weekly Report 20-Aug/20-Nov Excel/PDF Local Agency Security Program (LASP) DFPI-1003 Local Agency Deposits and Securities Called Report 20-Aug/20-Nov Excel/PDF Local Agency Security Program (LASP) DFPI-1004 Local Agency Security Program Collateral Transfer 22-Jan/20-Dec PDF Local Agency Security Program (LASP) DFPI-1010 Application for License as Business and Industrial Development Corporations 20-Oct PDF BIDCO DFPI-1802 Stock Purchase Questionnaire 20-Oct PDF Premium Finance DFPI-1815 Premium Finance Agency Application 20-Oct PDF Premium Finance DFPI-1820 For Item 2(d) of the Premium Finance Company Application 20-Oct PDF Premium Finance DFPI-1821 Customer Authorization of Disclosure of Financial Records – Premium Finance 20-Oct PDF Premium Finance DFPI-2110 Application for a License to Engage in the Money Transmission Business 20-Oct/20-Dec PDF Money Transmitter DFPI-2118 Application for Approval to Acquire Control of Money Transmitter 20-Nov PDF Money Transmitter DFPI-2120 English Unlicensed Money Transmitter Complaint 20-Oct PDF Money Transmitter DFPI-2120 Spanish Unlicensed Money Transmitter Complaint/Queja Con Respecto A Un Transmisor De Dinero No Authorizado 20-Oct PDF Money Transmitter DFPI-25 Uniform California Application/Notice 20-Oct PDF Commercial Bank, Industrial Bank DFPI-250.61 Statement of Citizenship, Alienage, and Immigration Status for Application of Department of Financial Protection and Innovation License or Certificate 20-Oct PDF Broker-Dealer, California Residential Mortgage Lending Act(CRMLA) DFPI-25100.1(b) Notice of Issuance of Securities 20-Nov PDF Securities DFPI-25102 N Transaction Pursuant to Corporations Code Section 25102(n) Packet including Instructions and Forms 21-Sep/21-Nov PDF Securities DFPI-25102(r) California Crowdfunding Exemption Notice 22-Apr PDF Securities DFPI-260.100.1 Request for Designation as an Exempt Organization Pursuant to Subdivision (k) of Section 25100 Corporate Securities Law of 1968 20-Nov PDF Securities DFPI-260.100.3 Request for Order of Exemption Pursuant to Subdivision (l) of Section 25100 Corporate Securities Law of 1968 20-Nov PDF Securities DFPI-260.102.14(c) Notice of Transaction Pursuant to Corporations Code Section 25102(f)
(Instruction included) 21-Sep PDF Securities DFPI-260.102.14(c)- Online Limited Offering Exemption Notice (25102(f)) (Online) Online Securities DFPI-260.102.19 Notice of Issuance of Securities pursuant to subdivision (o) of Section 25102 of the Corporations Code 20-Nov PDF Securities DFPI-260.102.8(a) Notice Of Issuance Of Shares Pursuant To Subdivision (H) Of Section 25102 Of The Corporations Code Or Rule 260.103, Title 10, Ca Code Of Regulations5/97 20-Nov PDF Securities DFPI-260.102.8(b) Consent to Service of Process – Securities 20-Nov PDF Securities DFPI-260.103.6(b) Notice of Exchange Transaction or Entity Conversion Pursuant to Corporations Code Section 25103(h) 20-Nov PDF Securities DFPI-260.105.33/34 Notice Of Transaction Under Rule 260.105.33 and/or 260.105.34 Under the Corporate Securities Law Of 1968 20-Nov PDF Securities DFPI-260.110 Facing Page 20-Nov PDF Securities DFPI-260.111 Application for Qualification by Coordination 20-Nov PDF Securities DFPI-260.112 Application for Qualification of Issuer Transactions by Notification 20-Nov PDF Securities DFPI-260.113 Instructions for Application by Permit 20-Nov PDF Securities DFPI-260.121 Application for Qualification of Recapitalizations and Reorganizations 20-Nov PDF Securities DFPI-260.131 Facing Page For Qualification Of Nonissuer Transaction By Notification 20-Nov PDF Securities DFPI-260.140.80.5 Contractual Periodic Payment Plan Standards Guidelines 20-Nov PDF Securities DFPI-260.141.13 Notice of Release of Securities From Escrow 20-Nov PDF Securities DFPI-260.141.50 Application for Removal of Condition 20-Nov PDF Securities DFPI-260.146 Semi-Annual Report Pursuant to Section 25146 of the Corporate Securities 1968 20-Nov PDF Securities DFPI-260.151(a) Application for Consent to Transfer Securities 20-Nov PDF Securities DFPI-260.151(b) Statement of Transferee to Accompany Application for Consent to Transfer Securities Subject To Legend or Escrow Condition 20-Nov PDF Securities DFPI-260.165 Consent to Service of Process – BDIA 20-Nov PDF Broker-Dealer and Investment Adviser Division (BDIA), Securities DFPI-260.211.1 Application by Notification for Broker Dealer Certificate 20-Oct PDF Broker-Dealer and Investment Adviser Division (BDIA) DFPI-260.237.2 Minimum Financial Requirement Worksheet 20-Nov PDF Broker-Dealer and Investment Adviser Division (BDIA) DFPI-260.241.2b Verification Form 20-Nov PDF Broker-Dealer and Investment Adviser Division (BDIA) DFPI-260.507 Application for Approval as to Form of an Offer to Repurchase a Security Under Subdivision (b) of Section 25507 of the Corporate Securities Law of 1968 20-Nov PDF Securities DFPI-2666 Bona Fide Non Profit Housing Organization Application for Registration 20-Nov PDF California Residential Mortgage Lending Act (CRMLA) DFPI-301 Summary of Merger Approval Process – Credit Unions 20-Oct PDF Credit Union DFPI-310 Sample Form of Application – Credit Unions 20-Nov PDF Credit Union DFPI-310.100.2 Franchise Investment Law-Notice of Negotiated Sale of Franchise under Section 310.100.2, Title 10, California Code of Regulations 20-Nov PDF Franchise Investment Law DFPI-310.100.4 Negotiated Sales Exempt Under 31109.1 of the Corporations Codes – Summary Description 20-Nov PDF Franchise Investment Law, Securities DFPI-310.101 Franchise Investment Law-Notice of Exemption under Corporations Code Sections 31101, 31104, 31108 or 31109 Corporations Code 20-Nov PDF Franchise Investment Law DFPI-310.106 Notice of a Transaction Exempt Under Corporations Code Section 31106 20-Nov PDF Franchise Investment Law DFPI-310.111 Guidelines for Franchise Registration (UFDD) 20-Oct PDF Franchise Investment Law DFPI-310.122 Uniform Franchise Registration Renewal Statement 20-Nov PDF Franchise Investment Law DFPI-310.125 Uniform Franchise Registration Application for Material Modification to Existing Franchises 20-Nov PDF Securities DFPI-310.155 Uniform Consent to Service of Process – Franchise Investment Law 20-Nov PDF Franchise Investment Law DFPI-31113 Surety Bond 20-Nov PDF Franchise Investment Law, Securities DFPI-320 Plan of Merger – Credit Unions 20-Nov PDF Credit Union DFPI-330 Sample Form of Notice of Merger – Credit Unions 20-Nov PDF Credit Union DFPI-340 Sample Form of Officers’ Certificate Regarding Giving of Notice – Credit Unions 20-Nov PDF Credit Union DFPI-350 Sample Form of Certificate of Merger of Surviving Credit Union 20-Nov PDF Credit Union DFPI-360 Sample Form of Certificate of Merger of Disappearing Credit Union 20-Nov PDF Credit Union DFPI-379 Written Consent Form 20-Oct PDF Bank, Money Transmitters DFPI-380 DFPI 380 – Credit Union Official – Questionnaire 20-Oct PDF Credit Union DFPI-390 Application for Approval to Form a Credit Union 20-Nov PDF Credit Union DFPI-391 Organizing a State Credit Union Information Booklet 21-Jan PDF Credit Union DFPI-4030 Authorization for Release of Information (Money Transmitters) 20-Oct PDF Money Transmitter DFPI-502 Trust Company Report of Condition 21-June/20-Nov PDF Trust Company and Department DFPI-5025 Appointment of Commissioner of Business Oversight as Agent for Service of Process (Money Transmitters) 20-Dec PDF Money Transmitter DFPI-505 Schedule T – Fiduciary and Related Services 20-Oct/20-Nov PDF Trust Company and Department DFPI-506 Schedule U 20-Oct/21-Jan PDF National banks, federal savings banks, and foreign (other state) banks authorized to engage in trust business in California DFPI-507 Schedule S – discontinued 12/31/08 DFPI-507C Call Report Certification Page for State Chartered Banks 20-Oct PDF Commercial Bank DFPI-512 SIQ Statement Of Identity & Questionnaire 20-Oct PDF Escrow Law DFPI-523 Report of Income for Foreign Banks 21-June/20-Nov PDF Foreign (Other Nation) Bank DFPI-523C Call Report Certification Page for Foreign Banks 20-Oct PDF Foreign (Other Nation) Bank DFPI-524 Trust Company Report of Income 21-June/20-Nov PDF Trust Company and Department DFPI-525 Money Transmitter Call Report Form For Licensees That Are ON the NMLS 22-Aug Excel Money Transmitter DFPI-55 Appointment of the Commissioner of Financial Protection and Innovation as Attorney for Service of Process 20-Oct PDF Foreign (Other Nation) Bank, Foreign (Other State) Bank DFPI-550 Emergency Contact Person Information 20-Sept PDF Commercial Bank, BIDCO, Credit Union, Foreign (Other Nation) Bank, Foreign
(other state) Bank, Industrial Bank,Money Transmitter, Premium Finance Companies, Trust Company and Department DFPI-65 This Form has been combined with form DFPI-55. – – DFPI-700 Application for Authorization to Invest in Corporation 20-Oct PDF Commercial Bank DFPI-704 Agreement to Comply with Regulations 20-Oct PDF Commercial Bank DFPI-706 Appointment of Commissioner of Financial Protection and Innovation as Agent for Service of Process 20-Oct PDF Commercial Bank DFPI-75 This Form has been combined with form DFPI-55. – – DFPI-801 Consumer Complaint Form – Use for consumer complaints on a DFPI licensee 22-Sep PDF Consumer DFPI-8016 Request for Live Scan Service and Live Scan Process Instruction Form – Commercial Bank 20-Nov PDF Commercial Bank DFPI-801B Consumer Complaint Form – Spanish ( Formulario para quejas del consumidor al DFPI) 20-Oct PDF Consumer DFPI-801C Consumer Complaint Form – Use for consumer complaints on a Property Assessed Clean Energy (PACE) issues 22-Sep PDF Consumer – PACE DFPI-801D Formulario de Quejas del Consumidor – PROPERTY ASSESSED CLEAN ENERGY (PACE) (PDF) – Consumer Complaint Form – Use for consumer complaints on a Property Assessed Clean Energy (PACE) issues – Spanish 20-Oct PDF Consumer – PACE DFPI-802 Electronic Surety Bond – California Financing Law 21-Feb PDF California Financing Law DFPI-803 Citizen Comment or Complaint Form – Use for comments/complaints on the Department, not for complaints on a licensee. 20-Dec PDF Consumer DFPI-803 SP Citizen Comment or Complaint Form – Use for comments/complaints on the Department, not for complaints on a licensee (Spanish) 21-Oct PDF Consumer DFPI-85 This Form has been combined with form DFPI-55. – – DFPI-88 Application for Approval to Act as Approved Depository 20-Oct PDF Commercial Bank, Foreign (Other Nation) Bank DFPI-90 Agreement of Approved Depository 20-Oct PDF Foreign (Other Nation) Bank DFPI-93 Application for Approval for Withdrawal and Release of Eligible Assets 20-Oct PDF Commercial Bank, Foreign (Other Nation) Bank DFPI-95 Report of Applicable Minimum 20-Dec PDF Foreign (Other Nation) Bank DFPI-ADM 500.295 Instructions for Section 260.141.11 Restriction on Transfer 20-Nov PDF Securities DFPI-ADM 510 Index of Fees, Fines, and Penalties 20-Oct PDF CACL, Broker-Dealer and Investment Adviser Division (BDIA) DFPI-BDIA 8018 Request for Live Scan Services – BDIA 20-Oct PDF Broker-Dealer and Investment Adviser Division (BDIA) DFPI-CACL 280.151 Application for a License under the Capital Access Company Law 20-Oct PDF CACL DFPI-CACL 280.152 Consent to Service of Process – CACL 20-Oct PDF CACL DFPI-CACL 280.153 Notice of Officers, Directors, Partners, “Control” Persons, Managers, Members, Trustees and Employees of a Capital Access Company 20-Oct PDF CACL DFPI-CACL 280.200 Application for Requesting Approval to Surrender Capital Access Company Law License 20-Oct PDF CACL DFPI-CACL 280.250 Application for Approval to Acquire Control 20-Oct PDF CACL DFPI-CDDTL 2020 – Long Form Application for License Under the CDDTL – Long Form 20-Oct PDF California Deferred Deposit Transaction (Payday Loan) DFPI-CDDTL 2021 Short Form Application for a License Under CDDTL 20-Oct PDF California Deferred Deposit Transaction (Payday Loan) DFPI-CDDTL 2022 Application Information for a License – Deferred Deposit Transaction Law 20-Oct PDF California Deferred Deposit Transaction (Payday Loan) DFPI-CDDTL 2023 Notice of Fingerprint Processing Requirements Under the California Deferred Deposit Transaction Law 20-Oct PDF California Deferred Deposit Transaction (Payday Loan) DFPI-CDDTL 2025 Notice Of Application Requirements Under The California Deferred Deposit Transaction Law 20-Oct PDF California Deferred Deposit Transaction (Payday Loan) DFPI-CDDTL 8018  Request for Live Scan Service – Applicant Submission (California Deferred Deposit Transaction License) 20-Oct PDF California Deferred Deposit Transaction (Payday Loan) DFPI-CFL 22066(c)(4) Application For Exempt Nonprofit Organization Pursuant to Financial Code Section 22066(c)(4) 20-Nov PDF California Financing Law DFPI-CFL 22066(d)(4) Notice of Partnering Organization Pursuant to Section 22066(d)(4) of the Financial Code 20-Nov PDF California Financing Law DFPI-CFL 22153 California Financing Law Change of Address Form 20-Nov PDF California Financing Law DFPI-CFL 8018 Request for Live Scan Service – Applicant Submission ( CFL License ) 21-Apr PDF California Financing Law DFPI-CFL-1422 Long Form California Financing Law Long Form Application Package 1422 20-Oct PDF California Financing Law DFPI-CFL-1423 Short Form California Financing Law Short Form Application Package 1423 20-Oct PDF California Financing Law DFPI-CFL-1550 Form Fingerprint Processing Requirements Under the California Financing Law 20-Nov PDF California Financing Law DFPI-CFL-1602 Application for the Pilot Program for Increased Access to Responsible Small Dollar Loans 20-Nov PDF California Financing Law DFPI-CFL-1603 Notification to Commissioner of Financial Protection and Innovation of Finder Registration 20-Oct PDF California Financing Law DFPI-CFL-1606 Instructions for Completing the 20XX Annual Report for Licensees Participating in the Pilot Program for Increased Access to Responsible Small Dollar Loans 20-Nov PDF California Financing Law DFPI-CFL-22066(c)(5) Annual Report for Exempt Nonprofit Organization Pursuant to Financial Code Section 22066(c)(5) 20-Nov PDF California Financing Law DFPI-CRMLA 8019 – PDF DFPI-CSCL-104 Application for Business License 20-Oct PDF Check Sellers, Bill Payers, And Proraters Law DFPI-CSCL-105 Bond Of Check Seller 20-Oct PDF Check Sellers, Bill Payers, And Proraters Law DFPI-CSCL-109 Application For Deposit Of Security In Accordance with Section 12223 Of the Finance Code Of The State Of California 20-Oct PDF Check Sellers, Bill Payers, And Proraters Law DFPI-CSCL-110 Application For Withdrawal Of Security In Accordance with Section 12223 Of the Finance Code Of The State Of California 20-Oct PDF Check Sellers, Bill Payers, And Proraters Law DFPI-CSCL-118 Nonprofit Community Service Organization Notice And Written Consent 20-Oct PDF Check Sellers, Bill Payers, And Proraters Law DFPI-CSCL-119 Nonprofit Community Service Organization Audit Report And Declaration 21-Apr PDF Check Sellers, Bill Payers, And Proraters Law DFPI-CSCL-120 Notice of Dissolution or Termination of Engaging in the Activities of a Prorater 20-Oct PDF Check Sellers, Bill Payers, And Proraters Law DFPI-DC 01 Supplemental Information 21-Sep PDF Debt Collection Licensing Program DFPI-DC 02 Appointment of Commissioner 21-Sep PDF Debt Collection Licensing Program DFPI-DOC-26 Certificate Of Search Request Form (English) 20-Nov PDF DFPI-DOC-27 Certificate Of Search Request Form (Spanish) 20-Nov PDF DFPI-EEO 139 Language Access Complaint Form 21-Jan PDF DFPI-EEO 139 SP Language Access Complaint Form (Spanish) 20-Oct PDF DFPI-EL 17213 Request For Consent To Transfer An Interest In An Escrow Agents License 20-Oct PDF Escrow Law DFPI-EL 1726 Notice Of Officers, Directors, Trustees, Employees Or Other Persons Directly Or Indirectly Compensated By Escrow Agents 20-Oct PDF Escrow Law DFPI-EL 1726A Affidavit 20-Nov PDF Escrow Law DFPI-EL 17419 Statement of Identity & Employment Application 21-Apr PDF Escrow Law DFPI-EL 301 Application For License Under The Escrow Law 20-Oct PDF Escrow Law DFPI-EL 301A General Information regarding the Application for Escrow Agents, Joint Control, and/or Internet Escrow Agents License 20-Nov PDF Escrow Law DFPI-EL 302 Application For A License To Establish A Branch Office 20-Oct PDF Escrow Law DFPI-EL 303 Bond of Escrow Licensee 20-Oct PDF Escrow Law DFPI-EL 303A Bond of Escrow Licensee (For Fidelity Bond Deductible) 20-Oct PDF Escrow Law DFPI-EL 314 Instructions for Establishing Records and Accounts Pursuant to the Escrow Law 20-Nov PDF Escrow Law DFPI-EL 315 California Escrow Law Audit Report 20-Nov PDF Escrow Law DFPI-EL 321 Assignment To Commissioner Of Financial Protection and Innovation 20-Oct PDF Escrow Law DFPI-EL 321A Instructions for Deposit of Cash in Lieu of Surety Bond 20-Oct PDF Escrow Law DFPI-EL 323A Time Certificate or Certificate of Deposit 20-Oct PDF Escrow Law DFPI-EL 326 Application For Authorization To Change Ownership 20-Oct PDF Escrow Law DFPI-EL 330 Escrow Agent Manager Questionnaire 20-Nov PDF Escrow Law DFPI-EL 336 Subordination Agreement 20-Oct PDF Escrow Law DFPI-EL 338 General Information on the Licensing and Regulation of Independent Escrow Agents 20-Nov PDF Escrow Law DFPI-EL 339 Revised Notice of Fingerprint Processing Requirements under the Escrow Law 20-Nov PDF Escrow Law DFPI-EL 8018 Request for Live Scan Service – Applicant Submission ( Escrow Agents License) 20-Oct PDF Escrow Law DFPI-EL 805 Consent To Service Of Process – Escrow Law 20-Oct PDF Escrow Law DFPI-ENF 53 Citizen Complaint Against Peace Officer Form 20-Nov PDF Consumer DFPI-ENF 53 SP Citizen Complaint Against Peace Officer Form (Spanish) 21-Oct PDF Consumer DFPI-ENF 53A Policy Governing Citizen Complaints Against Peace Officers 20-Nov PDF Consumer DFPI-ENF 53A SP Policy Governing Citizen Complaints Against Peace Officers (Spanish) 21-Oct PDF Consumer DFPI-EOO 100 CalMoneySmart Grant Application – Fiscal Year 2020-2021 With Instructions 20-Oct PDF CalMoneySmart DFPI-ESC 17213.1 California Escrow Law Change of Address Form 20-Nov PDF Escrow Law DFPI-FDIC 3064-0006 Interagency Biographical and Financial Report Form 18-Jun PDF Commercial Banks, Industrial Banks, Money Transmitter, Foreign (Other Nation) Bank, Premium Finance Companies, Trust Company and Department DFPI-FDIC 3064-0006
Instructions Department of Financial Protection and Innovation Supplemental Instructions 22-Jun PDF Commercial Banks, Industrial Banks, Money Transmitter, Foreign (Other Nation) Bank, Premium Finance Companies, Trust Company and Department DFPI-LE-500.262 Customer Authorization of Disclosure of Financial Records – Escrow 20-Nov PDF Escrow Law DFPI-LF 596 Summary of Personnel 20-Nov PDF Escrow Law DFPI-MBL 1950.122.2 Notice of Officers, Directors, Partners, “Control” Persons, Managers, Members, Trustees and Employees of a Residential Mortgage Lender, Residential Mortgage Lender and Servicer or Residential Mortgage Loan Servicer 20-Oct PDF California Residential Mortgage Lending Act (CRMLA) DFPI-MBL 1950.122B Customer Authorization for Disclosure of Financial Records 21-Aug PDF California Residential Mortgage Lending Act (CRMLA) DFPI-MBL 1950.122C Notice of Fingerprint Processing Requirements under the California Residential Mortgage Lending Act 20-Dec PDF California Residential Mortgage Lending Act (CRMLA) DFPI-MTD 8016 Request For Live Scan Service – Applicant Submission ( Money Transmitter) 22-Aug PDF Money Transmitter DFPI-QR 500.265 Customer Authorization of Disclosure of Financial Records – Franchise 20-Nov PDF Franchise Investment Law DFPI-QR-500.259 Customer Authorization Of Disclosure Of Financial Records – Securities 20-Nov PDF Securities DFPI-QR-500.261 Customer Authorization Of Disclosure Of Financial Records-Broker – Dealer and Investment Adviser Division (BDIA) 20-Nov PDF Broker-Dealer and Investment Adviser Division (BDIA) DFPI-SB 978 Real Estate Related Information Required Pursuant To Corporations Code Section 25102.2 20-Nov PDF DFPI-SCOR-260.113 Small Corporate Offering Registration Form 20-Nov PDF Securities DFPI-SLS 100 Supplemental Request for Information 20-Oct PDF Student Loan Servicing Program DFPI-SLS 101 Appointment of Commissioner of Business Oversight as Agent for Service of Process 20-Oct PDF Student Loan Servicing Program DFPI-SRD 500.526 A Consumer’s Guide to Small Business Investments 20-Nov PDF Securities DFPI-SRD 500.526 SP A Consumer’s Guide to Small Business Investments (Spanish) 21-Oct PDF Securities DFPI-SRD-QR 518 Look Before You Leap – Guide to Buying a Franchise 20-Dec PDF Securities HDN-1 2021 Holden Act Report (HDN-1) Instructions and Forms 22-Apr PDF California Residential Mortgage Lending Act (CRMLA) HUD-GFE Good Faith Estimate Form (GFE). Available in the following languages:  21-Feb PDF U4 Uniform Application for Securities Industry Regulation or Transfer 05-Oct PDF Broker-Dealer and Investment Adviser Division (BDIA) U5 Uniform Termination Notice for Securities Industry Registration 05-Oct PDF Broker-Dealer and Investment Adviser Division (BDIA) U10 Test Enrollment Services System (TESS) went live April 2017 as a replacement for the Form U10 process. Individuals who are not registered in CRD enroll for FINRA, NASAA, MSRB, NFA, FDIC exams and CE sessions via TESS. Online Investment Adviser

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