§ 400.5. Amendments to application for registration and to notice of status as a government securities broker or dealer.
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/us/cfr/t17/s§ 400.5·A research copy — for the controlling text, always check the official state or federal source. Not legal advice.
(a)(1) If the information contained in any application for registration as a government securities broker or dealer (other than the statements required by § 240.15Ca2-2 of this title) or in any amendment thereto, becomes inaccurate for any reason, the registered government securities broker or dealer shall file within 30 days thereafter an amendment on Form BD (§ 249.501 of this title) correcting such information, in accordance with the instructions provided therein.
(2)If the information contained in any notice of status as a government securities broker or dealer filed by a registered broker or dealer, or in any amendment thereto, becomes inaccurate for any reason, the registered broker or dealer shall file within 30 days an amendment on Form BD (§ 249.501 of this title) correcting such information, in accordance with the instructions provided therein.
(b)If the information contained in any notice of status as a government securities broker or dealer filed by a financial institution, or any amendment thereto, becomes inaccurate for any reason, the financial institution shall file within 30 days an amendment on Form G-FIN (§ 449.1 of this chapter) correcting such information, in accordance with the instructions provided therein.
(c)Every amendment filed pursuant to this section shall constitute a "report" within the meaning of sections 15, 15C and 32(a) of the Act (15 U.S.C. 78o, 78o-5, 78ff(a)). (Approved by the Office of Management and Budget under control number 1535-0089) \[52 FR 27926, July 24, 1987, as amended at 60 FR 11026, Mar. 1, 1995\]
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- NoticesBoard of Governors of the Federal Reserve System
- NoticesBoard of Governors of the Federal Reserve System
- Rules and RegulationsBoard of Governors of the Federal Reserve System
- NoticesNotice of proposed rulemaking
- NoticesFinal rule
- Presidential DocumentsNotice of proposed rulemaking
- NoticesJoint notice, request for comment
- UnknownFinal rule; request for comments
- NoticesNotice, request for comment
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§ 400.5
Amendments to application for registration and to notice of status as a government securities broker or dealer.
Fed. Reg.×11
C.F.R.×1
Cites 1Cited by 12 across 2 sources