Get the free Broker-dealers registered under Section 15(b) of the Exchange Act that cease to cond...

Get Form

Show details

11D. 11E. 11F. 11G. One event may result in more than one affirmative answer to Items 11C 11D 11E 11F or 11G. Use only one DRP to report details related to the same event. The information must fit within the space provided. Item 11H of Form BD 11H 2 of 11H must be reported on separate DRPs. The questions on this DRP. Details of the event must be submitted on the control affiliate s appropriate DRP BD or DRP U-4. Act of 1934 and also acting or intending to act as a government securities broker...

We are not affiliated with any brand or entity on this form

Get, Create, Make and Sign broker-dealers registered under section

Edit your broker-dealers registered under section form online

Type text, complete fillable fields, insert images, highlight or blackout data for discretion, add comments, and more.

Add your legally-binding signature

Draw or type your signature, upload a signature image, or capture it with your digital camera.

Share your form instantly

Email, fax, or share your broker-dealers registered under section form via URL. You can also download, print, or export forms to your preferred cloud storage service.

How to edit broker-dealers registered under section online

Ease of Setup

pdfFiller User Ratings on G2

Ease of Use

pdfFiller User Ratings on G2

Here are the steps you need to follow to get started with our professional PDF editor:

1

Create an account. Begin by choosing Start Free Trial and, if you are a new user, establish a profile.

2

Prepare a file. Use the Add New button. Then upload your file to the system from your device, importing it from internal mail, the cloud, or by adding its URL.

3

Edit broker-dealers registered under section. Rearrange and rotate pages, add new and changed texts, add new objects, and use other useful tools. When you're done, click Done. You can use the Documents tab to merge, split, lock, or unlock your files.

4

Get your file. Select your file from the documents list and pick your export method. You may save it as a PDF, email it, or upload it to the cloud.

With pdfFiller, it's always easy to deal with documents.

Uncompromising security for your PDF editing and eSignature needs

Your private information is safe with pdfFiller. We employ end-to-end encryption, secure cloud storage, and advanced access control to protect your documents and maintain regulatory compliance.

Learn more about security & compliance

How to fill out broker-dealers registered under section

01

Step 1: Gather all the necessary documents and information required to register as a broker-dealer under section.

02

Step 2: Complete the Form BD (Uniform Application for Broker-Dealer Registration) provided by the Securities and Exchange Commission (SEC).

03

Step 3: Submit the completed Form BD along with the requisite filing fee to the SEC.

04

Step 4: Wait for the SEC to review and process the application. This may take several weeks to months.

05

Step 5: Upon approval, receive the broker-dealer registration number from the SEC.

06

Step 6: Comply with all the ongoing reporting and compliance requirements imposed by the SEC for registered broker-dealers.

Who needs broker-dealers registered under section?

01

Individuals or entities who engage in the business of buying and selling securities on behalf of others as a primary business activity.

02

Financial institutions, such as investment banks, brokerage firms, and trading platforms.

03

Advisory firms that offer investment advice and also execute trades on behalf of their clients.

04

Individuals or firms engaged in underwriting securities offerings.

05

Market makers and proprietary trading firms.

Fill form : Try Risk Free

Rate the form

4.3

Satisfied

28 Votes

For pdfFiller’s FAQs

Below is a list of the most common customer questions. If you can’t find an answer to your question, please don’t hesitate to reach out to us.

How can I manage my broker-dealers registered under section directly from Gmail?

In your inbox, you may use pdfFiller's add-on for Gmail to generate, modify, fill out, and eSign your broker-dealers registered under section and any other papers you receive, all without leaving the program. Install pdfFiller for Gmail from the Google Workspace Marketplace by visiting this link. Take away the need for time-consuming procedures and handle your papers and eSignatures with ease.

Can I create an electronic signature for signing my broker-dealers registered under section in Gmail?

With pdfFiller's add-on, you may upload, type, or draw a signature in Gmail. You can eSign your broker-dealers registered under section and other papers directly in your mailbox with pdfFiller. To preserve signed papers and your personal signatures, create an account.

How can I fill out broker-dealers registered under section on an iOS device?

Install the pdfFiller app on your iOS device to fill out papers. Create an account or log in if you already have one. After registering, upload your broker-dealers registered under section. You may now use pdfFiller's advanced features like adding fillable fields and eSigning documents from any device, anywhere.

What is broker-dealers registered under section?

Broker-dealers registered under section refers to firms that are registered with the Securities and Exchange Commission (SEC) to buy and sell securities on behalf of clients.

Who is required to file broker-dealers registered under section?

Any firm or individual that engages in the business of buying and selling securities for themselves or on behalf of clients must file as a broker-dealer.

How to fill out broker-dealers registered under section?

To fill out broker-dealers registered under section, firms must submit Form BD to the SEC, providing information about their business activities, ownership, and key personnel.

What is the purpose of broker-dealers registered under section?

The purpose of broker-dealers registered under section is to ensure that firms that engage in securities transactions are properly registered and comply with regulations to protect investors.

What information must be reported on broker-dealers registered under section?

Information such as business activities, ownership, key personnel, and any disciplinary history must be reported on broker-dealers registered under section.

Fill out your broker-dealers registered under section online with pdfFiller!

pdfFiller is an end-to-end solution for managing, creating, and editing documents and forms in the cloud. Save time and hassle by preparing your tax forms online.

Get started now