17 CFR 249.501
§ 249.501 Form BD, for application for registration as a broker and dealer or to amend or supplement such an application.
United States · 17 CFR — Commodity and Securities Exchanges · Status: effective
Cite this
- Citation
- 17 CFR 249.501, § 249.501 Form BD, for application for registration as a broker and dealer or to amend or supplement such an application, United States, version 1 as recorded 2026-07-09, yourstate.us, https://yourstate.us/provision/69709
- Permanent ID
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Full text
(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.
Legislative history
This is a federal regulation, adopted through agency rulemaking under the Administrative Procedure Act — not enacted by a recorded vote of Congress.