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

17 C.F.R. § 249.501
in effectEffective: 2024-07-01
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(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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