C.F.R. » Title 17 » CHAPTER II—SECURITIES AND EXCHANGE COMMISSION › PART 249—FORMS, SECURITIES EXCHANGE ACT OF 1934 › Subpart F—Forms for Registration of Brokers and Dealers Transacting Business on Over-the-Counter Markets

17 C.F.R. § 249.501

Form BD, for application for registration as a broker and dealer or to amend or supplement such an application

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(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.

[33 FR 18995, Dec. 20, 1968] Editorial Note:For Federal Register citations affecting Form BD, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.
Notes of Decisions
Cited in 3 cases (3 in the last 5 years), 2022–2024 · leading case: In Re: Bernard L. Madoff Inv. Sec. LLC (2d Cir. 2022).
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In Re: Bernard L. Madoff Inv. Sec. LLC (2d Cir. 2022). “§§ 78o(a)-(b); 17 C.F.R. § 249.501 (a). A successor that continues the business of the broker- dealer previously registered with the SEC that changes the predecessor’s operating form must file a Form BD Amendment.”
In Re: Bernard L. Madoff Inv. Sec. LLC (2d Cir. 2023). “§ 78o(a)–(b); 17 C.F.R. § 249.501 (a), contains the attestation that ‘“[e]ffective January 1, 2001, predecessor,’ that was Bernard L.”
In Re: Bernard L. Madoff Inv. Sec. LLC (2d Cir. 2024). “§ 78o(a)–(b); 17 C.F.R. § 249.501 (a), contains the attestation that ‘“[e]ffective January 1, 2001, predecessor,’ that was Bernard L.”
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