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 |
§ 249.501b - Form BD-N for notice registration as a broker-dealer.
Latest version.
-
§ 249.501b Form BD-N for notice registration as a broker-dealer.
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.
[66 FR 45147, Aug. 27, 2001]