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Federal regulations · Through 2026-08-25 · Newer source version available

17 CFR 249.501b: b Form BD-N for notice registration as a broker-dealer.

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Where this section sits in the code
  1. Title 17—Commodity and Securities Exchanges
  2. CHAPTER II—SECURITIES AND EXCHANGE COMMISSION
  3. PART 249—FORMS, SECURITIES EXCHANGE ACT OF 1934
  4. Subpart F—Forms for Registration of Brokers and Dealers Transacting Business on Over-the-Counter Markets

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.

Collected 2026-08-27T02:24:31Z. Source file · JSON

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