Get Form Bd - Sec.gov

Filling out Form BD requires careful attention to detail and accuracy. This guide will provide you with step-by-step instructions to complete the form effectively, ensuring compliance with the necessary regulations.

Follow the steps to complete your Form BD accurately

1. Click ‘Get Form’ button to obtain the form and open it in the editor.
2. Begin by entering the year-end date in the ‘YEAR END’ field at the top of the form. This indicates the reporting period for your associated persons' securities accounts.
3. In the ‘Identification of Securities Accounts For’ section, write the name of the broker-dealer associated with the accounts you are reporting. Ensure that this name matches any official documentation.
4. List each associated person's name in the ‘Name of Associated Person’ column. Be sure to include everyone who was associated with your firm during the preceding year.
5. In the ‘Responsibilities at Firm’ column, specify the role or position held by each associated person within your firm at the time of reporting.
6. Provide the appropriate details for each securities account in the ‘Account Name’ and ‘Account Number’ columns. This includes the name used for the account and the unique identifier assigned to it.
7. In the ‘Name of Broker Carrying Account’ field, include the name of the brokerage firm that manages each account listed.
8. For any associated persons who have a relationship as a corporate insider, indicate 'yes' or 'no' in the ‘Corporate Insider’ column. If 'yes,' also fill in the ‘Company Name’ column with the name of the public company involved.
9. Review all sections for accuracy and completeness. Ensure that all required fields are filled out correctly before proceeding.
10. Once all information is confirmed, save changes to your form. You can also download, print, or share the completed form as needed.

Complete your Form BD online today to ensure timely compliance with SEC regulations.