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 § 249.501b
17 CFR § 249.501b
Form BD-N for notice registration as a broker-dealer
April 15, 2021
CFR

This form shall be used for notice of registration as a broker-dealer pursuant to Section 15(b)(11)(A) of the Act (15 U.S.C. 78o(b)(11)(A)) for the limited purpose of trading security futures products, or to amend such notice.

[66 FR 45147, Aug. 27, 2001]

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§ 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
Next
§ 249.507 Form 7-M, consent to service of process by an individual nonresident broker-dealer

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