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Form BD OMB APPROVAL OMB Number: 3235-0012 Expires: August 31, 2013, Estimated average burden hours per response. . . . . . . 2.75 per amendment. . . . . . . . 0.33 Uniform Application for Broker-Dealer

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What is form bd?

Form BD is a form used by securities broker-dealers to register with the Securities and Exchange Commission (SEC) and self-regulatory organizations (SROs) such as the Financial Industry Regulatory Authority (FINRA). It provides information about the broker-dealer's business operations, key personnel, and regulatory history.

Who is required to file form bd?

Any firm or individual that wants to engage in the business of buying or selling securities as a broker-dealer is required to file form BD. This includes individuals or entities that are involved in the distribution of investment products, trading securities for customers, or providing brokerage services.

How to fill out form bd?

To fill out form BD, the securities broker-dealer must provide information about their business structure, ownership and control, key personnel, disciplinary history, and other relevant details. The form can be filled out electronically through the SEC's online filing system or submitted in paper format to the SEC.

What is the purpose of form bd?

The purpose of form BD is to provide regulators and the public with information about securities broker-dealers and their activities. It helps to ensure that broker-dealers are appropriately registered and can operate in compliance with applicable laws and regulations. It also helps investors and the SEC to assess the broker-dealer's potential risks and any disciplinary history.

What information must be reported on form bd?

Form BD requires broker-dealers to provide information such as their contact details, registration and membership information, details of their business operations, key personnel, financial condition, affiliations, disciplinary history, and any other information deemed necessary by the SEC and SROs.

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