1. LawStack
  2. Title 17 - Commodity and Securities Exchange
  3. Chapter II - SECURITIES AND EXCHANGE COMMISSION
  4. Part 249 - FORMS, SECURITIES EXCHANGE ACT OF 1934
  5. Subpart F - Forms for Registration of Brokers and Dealers Transacting Business on Over-the-Counter Markets
  6. 17 CFR § 249.501
17 CFR § 249.501
Form BD, for application for registration as a broker and dealer or to amend or supplement such an application
April 15, 2021
CFR

(a) This form shall be used for application for registration as a broker-dealer under the Securities Exchange Act of 1934, or to amend such application.

(b) Interim Form BD shall be used for application for registration as broker-dealer under the Securities Exchange Act of 1934, or to amend such application, only by order of the Commission. In the event broker-dealers are required to comply with their filing obligations on Interim Form BD, the form will be made available at the Commission's Publication Office at (202) 942-4040.

[33 FR 18995, Dec. 20, 1968]

Next
§ 249.501a Form BDW, notice of withdrawal from registration as broker-dealer pursuant to §240.15b6-1, §240.15Bc3-1, or §240.15Cc1-1 of this chapter

Tried the LawStack mobile app?

Join thousands and try LawStack mobile for FREE today.

  • Carry the law offline, wherever you go.
  • Download CFR, USC, rules, and state law to your mobile device.

Designed and built by Tekk Innovations LLC, the makers of the LawStack iPhone app or Android app.

© 2020 Tekk Innovations LLC