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  1. LII
  2. Electronic Code of Federal Regulations (e-CFR)
  3. Title 17. Commodity and Securities Exchanges
  4. Chapter II. SECURITIES AND EXCHANGE COMMISSION
  5. Part 249. FORMS, SECURITIES EXCHANGE ACT OF 1934
  6. Subpart F. Forms for Registration of Brokers and Dealers Transacting Business on Over-the-Counter Markets

17 CFR Subpart F - Forms for Registration of Brokers and Dealers Transacting Business on Over-the-Counter Markets

  • CFR
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  1. § 249.501 Form BD, for application for registration as a broker and dealer or to amend or supplement such an application.
  2. § 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.
  3. § 249.501b Form BD-N for notice registration as a broker-dealer.
  4. § 249.507 Form 7-M, consent to service of process by an individual nonresident broker-dealer.
  5. § 249.508 Form 8-M, consent to service of process by a corporation which is a nonresident broker-dealer.
  6. § 249.509 Form 9-M, consent to service of process by a partnership nonresident broker-dealer.
  7. § 249.510 Form 10-M, consent to service of process by a nonresident general partner of a broker-dealer firm.

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