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17 CFR 249.501b

§ 249.501b Form BD-N for notice registration as a broker-dealer.

United States · 17 CFR — Commodity and Securities Exchanges · Status: effective

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17 CFR 249.501b, § 249.501b Form BD-N for notice registration as a broker-dealer, United States, version 1 as recorded 2026-07-09, yourstate.us, https://yourstate.us/provision/69711
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Full text

This form shall be used for notice of registration as a broker-dealer pursuant to Section 15(b)(11)(A) of the Act (15 U.S.C. 78o(b)(11)(A)) for the limited purpose of trading security futures products, or to amend such notice.

Legislative history

This is a federal regulation, adopted through agency rulemaking under the Administrative Procedure Act — not enacted by a recorded vote of Congress.