GroundRules
17 CFR 249.501: Form BD, for application for registration as a broker and dealer or to amend or supplement such an application.
Where this section sits in the code
- Title 17—Commodity and Securities Exchanges
- CHAPTER II—SECURITIES AND EXCHANGE COMMISSION
- PART 249—FORMS, SECURITIES EXCHANGE ACT OF 1934
- Subpart F—Forms for Registration of Brokers and Dealers Transacting Business on Over-the-Counter Markets
(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.
Collected 2026-08-27T02:24:31Z. Source file · JSON