Statutes, codes, and regulations
Code of Federal Regulations
Title 17 - COMMODITY AND SECURITIES EXCHANGESChapter II - SECURITIES AND EXCHANGE COMMISSIONPart 249 - FORMS, SECURITIES EXCHANGE ACT OF 1934
Subpart F - FORMS FOR REGISTRATION OF BROKERS AND DEALERS TRANSACTING BUSINESS ON OVER-THE-COUNTER MARKETS
Section 249.501b - Form BD-N for notice registration as a broker-dealer

17 C.F.R. § 249.501b

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Current through September 30, 2024
Section 249.501b - Form BD-N for notice registration as a broker-dealer

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.

17 C.F.R. §249.501b

66 FR 45147, Aug. 27, 2001

For FEDERAL REGISTER citations affecting Form BD-N, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.