BD- FINRA Broker-Dealer Withdrawal (Form BDW) Preparation & Filing Checklist

The FINRA Broker-Dealer Withdrawal (Form BDW) Preparation & Filing Checklist serves as a valuable guide when preparing and planning to withdraw your broker-dealer registration.  The Form BDW Preparation & Filing Checklist includes an overview, timelines, required documentation, regulatory filings and other considerations when completing the broker-dealer withdrawal (BDW) process. Members also downloaded SEC Form BD or SEC Form BDW.

Version/Update: V.2/February 17, 2018

Total Page Count: 7

Source/Author(s): Connexien