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Code of Federal Regulations (Last Updated: November 8, 2024) |
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Title 17 - Commodity and Securities Exchanges |
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Chapter II - Securities and Exchange Commission |
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Part 249 - Forms, Securities Exchange Act of 1934 |
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Subpart F - Forms for Registration of Brokers and Dealers Transacting Business on Over-the-Counter Markets |
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. |
| § 249.507 - Form 7-M, consent to service of process by an individual nonresident broker-dealer. |
| § 249.508 - Form 8-M, consent to service of process by a corporation which is a nonresident broker-dealer. |
| § 249.509 - Form 9-M, consent to service of process by a partnership nonresident broker-dealer. |
| § 249.510 - Form 10-M, consent to service of process by a nonresident general partner of a broker-dealer firm. |
| § 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. |
| § 249.501b - Form BD-N for notice registration as a broker-dealer. |