Who must file a form BD?

Those who wish to become registered must file Form BD (the Uniform Application for Broker-Dealer Registration) with the SEC, appropriate self-regulatory organizations (SROs), including FINRA, and jurisdictions.

Are form BD filings publicly available?

The Form also is used by applicants to register as broker- dealers with certain self-regulatory organizations and all of the states. The Commission and the Financial Industry Regulatory Authority, Inc. maintain the files of the information on this Form and will make the information publicly available.

What is the definition of an affiliate FINRA?

affiliate of a FINRA member means an entity that Controls, is Controlled by or is under common Control with a FINRA Member.

What is BD in investment terms?

A broker-dealer (B-D) is a person or firm in the business of buying and selling securities for its own account or on behalf of its customers. The term broker-dealer is used in U.S. securities regulation parlance to describe stock brokerages because most of them act as both agents and principals.

What is a form BD in finance?

The Form BD (Uniform Application for Broker-Dealer Registration) is used to register a broker-dealer with the SEC, SROs and jurisdictions. Firms can create and submit Form BD Amendment filings elec- tronically through Web CRD.

Where can I find form BD?

Form BD is available on the Department's web site or FINRA's web site at http://.finra.org/industry/web-crd/current-uniform-registration-forms-electronic-filing-web-crd.

What does a broker-dealer do?

Key Takeaways. A broker-dealer is a financial entity that is engaged with trading securities on behalf of clients, but which may also trade for itself. A broker-dealer is acting as a broker or agent when it executes orders on behalf of its clients, and as a dealer or principal when it trades for its own account.

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Q: Where can I find form BD?

Form BD is available on the Department&#039;s web site or FINRA&#039;s web site at http://.finra.org/industry/web-crd/current-uniform-registration-forms-electronic-filing-web-crd.

-Dealer Registration SEC1490 (1-08) Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. FORM BD INSTRUCTIONS A. GENERAL INSTRUCTIONS 1. Form BD is the Uniform Application for Broker-Dealer Registration. Broker-Dealers must file this form to register with the Securities and Exchange Commission, the self-regulatory organizations, and jurisdictions through the Central Registrati.

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