Get the free Form BD-N - U.S. Securities and Exchange Commission Homepage - edgar sec

OMB APPROVAL OMB Number: 3235-0556 Expires: April 30, 2014, Estimated average burden hours per response. .30 minutes UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form BD-N

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6. Complete the section related to any criminal history or disciplinary actions, if applicable.
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For pdfFiller’s FAQs

What is form bd-n - us?

Form BD-N is a form used by broker-dealers to register with the U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA).

Who is required to file form bd-n - us?

Broker-dealers who conduct business in the United States are required to file Form BD-N.

How to fill out form bd-n - us?

Form BD-N can be filled out electronically through the SEC's Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system.

What is the purpose of form bd-n - us?

The purpose of Form BD-N is to register broker-dealers with the SEC and FINRA to ensure compliance with securities regulations.

What information must be reported on form bd-n - us?

Form BD-N requires information about the broker-dealer's business activities, ownership, and disciplinary history.

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