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

121 words·~1 min read·/us/cfr/t17/s§ 249.501

A research copy — for the controlling text, always check the official state or federal source. Not legal advice.

(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.

Connections96 cite this

Cited by 96 sections · top 60

CFR

Citation graph

cites case law

§ 249.501

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

Fed. Reg.×80

C.F.R.×16

Cites 0Cited by 96 across 2 sources