Federal (United States) · Regulations
Subpart F — Forms for Registration of Brokers and Dealers Transacting Business on Over-the-Counter Markets
7 sections
7 sections
- 17 C.F.R. § 249.501Form BD, for application for registration as a broker and dealer or to amend or supplement such an application.
- 17 C.F.R. § 249.501aForm BDW, notice of withdrawal from registration as broker-dealer pursuant to § 240.15b6-1, § 240.15Bc3-1, or § 240.15Cc1-1 of this chapter.
- 17 C.F.R. § 249.501bForm BD-N for notice registration as a broker-dealer.
- 17 C.F.R. § 249.507Form 7-M, consent to service of process by an individual nonresident broker-dealer.
- 17 C.F.R. § 249.508Form 8-M, consent to service of process by a corporation which is a nonresident broker-dealer.
- 17 C.F.R. § 249.509Form 9-M, consent to service of process by a partnership nonresident broker-dealer.
- 17 C.F.R. § 249.510Form 10-M, consent to service of process by a nonresident general partner of a broker-dealer firm.