![]() |
Code of Federal Regulations (Last Updated: July 5, 2024) |
![]() |
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 |
§ 249.501 - Form BD, for application for registration as a broker and dealer or to amend or supplement such an application.
Latest version.
-
§ 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.
[33 FR 18995, Dec. 20, 1968]