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Form BD OMB APPROVAL OMB Number: 3235-0012 Expires: TBD Estimated average burden hours per response. . . . . . . 2.75 per amendment. . . . . . . . 0.33 Uniform Application for Broker-Dealer Registration
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What is form bd uniform application?
Form BD (Uniform Application for Broker-Dealer Registration) is a form used by firms and individuals seeking to become registered as broker-dealers with the Securities and Exchange Commission (SEC).
Who is required to file form bd uniform application?
Any firm or individual engaged in the business of buying or selling securities on behalf of others must file Form BD in order to register as a broker-dealer.
How to fill out form bd uniform application?
Form BD requires applicants to provide detailed information about their business, ownership structure, registered representatives, disciplinary history, and other relevant information. The form can be filled out electronically and submitted through the SEC's online registration system.
What is the purpose of form bd uniform application?
The purpose of Form BD is to provide the SEC with information about broker-dealers and their associated persons in order to ensure compliance with securities laws and regulations.
What information must be reported on form bd uniform application?
Form BD requires applicants to report information such as their business name, address, organizational structure, disciplinary history, the type of securities they intend to trade, and information about their associated persons.
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