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Code of Federal Regulations Title 17. Commodity and Securities Exchanges § 17.249.501 Form BD, for application for registration as a broker and dealer or to amend or supplement such an application

Current as of January 02, 2025 | Updated by Findlaw Staff

(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.

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Cite this article: FindLaw.com - Code of Federal Regulations Title 17. Commodity and Securities Exchanges § 17.249.501 Form BD, for application for registration as a broker and dealer or to amend or supplement such an application - last updated January 02, 2025 | https://codes.findlaw.com/cfr/title-17-commodity-and-securities-exchanges/cfr-sect-17-249-501/

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