17 CFR 249.501 - Form BD, for application for registration as a broker and dealer or to amend or supplement such an application.
(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.
- 17 CFR 400.5 — Amendments to Application for Registration and to Notice of Status as a Government Securities Broker or Dealer.
- 17 CFR 240.17a-4 — Records to Be Preserved by Certain Exchange Members, Brokers and Dealers.
- 17 CFR 240.15Ca1-1 — Notice of Government Securities Broker-Dealer Activities.
- 17 CFR 240.15b1-1 — Application for Registration of Brokers or Dealers.