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BD- SEC Broker-Dealer Registration Form BD

BD- SEC Broker-Dealer Registration Form BD

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Form BD (Uniform Application for Broker-Dealer Registration) should be completed and submitted to the Securities and Exchange Commission (SEC), Self-Regulatory Organizations (SROs), and jurisdictions when initially applying as a broker-dealer or to amend an existing registration.  The Form BD provides background information of the broker-dealer applicant. Members also downloaded FINRA Broker-Dealer Withdrawal (BDW) Preparation & Filing Checklist or SEC Form BDW.

Version/Update: 3235-0012/December 2022

Total Page Count/Format: 28/.pdf

Source/Author(s): SEC

Published by: Connexien

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