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Forms for Registration of Brokers and Dealers Transacting Business on Over-the-Counter Markets
Law
CFR 17
Commodity and Securities Exchanges
Securities and Exchange Commission
Forms, Securities Exchange Act of 1934
Forms for Registration of Brokers and Dealers Transacting Business on Over-the-Counter Markets
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Section
249.501
Form BD, for application for registration as a broker and dealer or to amend or supplement such an application.
Section
249.501a
Form BDW, notice of withdrawal from registration as broker-dealer pursuant to § 240.15b6-1, § 240.15Bc3-1, or § 240.15Cc1-1 of this chapter.
Section
249.501b
Form BD-N for notice registration as a broker-dealer.
Section
249.507
Form 7-M, consent to service of process by an individual nonresident broker-dealer.
Section
249.508
Form 8-M, consent to service of process by a corporation which is a nonresident broker-dealer.
Section
249.509
Form 9-M, consent to service of process by a partnership nonresident broker-dealer.
Section
249.510
Form 10-M, consent to service of process by a nonresident general partner of a broker-dealer firm.