17 CFR 249.501 - Form BD, for application for registration as a broker and dealer or to amend or supplement such an application.

Regulations last checked for updates: Apr 20, 2024

Title 17 - Commodity and Securities Exchanges last revised: Apr 15, 2024

View all text of Subpart F [§ 249.501 - § 249.510]

§ 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] Editorial Note:For Federal Register citations affecting Form BD, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.

authority: 15 U.S.C. 78a

cite as: 17 CFR 249.501