-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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How to fill out the SEC1490 form online
The SEC1490 form is the Uniform Application for Broker-Dealer Registration, which is essential for broker-dealers aiming to register with the Securities and Exchange Commission. This guide provides a step-by-step approach to filling out the form online, ensuring your submission is accurate and complete.
Follow the steps to fill out the SEC1490 online effectively
- Click the ‘Get Form’ button to access the SEC1490 form and open it in your browser.
- Begin with the execution page where you must provide the official name of the broker-dealer, its main office address, and contact details. Ensure that every field is filled in accurately.
- In section 2, indicate the jurisdictions where the broker-dealer is applying for registration by checking the appropriate boxes. Include full registration details under each jurisdiction.
- For section 3, identify the legal status of the applicant: Corporation, Partnership, Limited Liability Company, etc., and provide the corporation's date of formation and state.
- Proceed to the section where you need to disclose any past regulatory actions against the applicant, including criminal disclosures, regulatory disclosures, and civil judicial matters. This includes answering yes or no to any pertinent questions.
- Verify if there are any disclosures related to unsatisfied judgments or liens against the applicant and report them accordingly.
- Fill out the schedules A, B, and D as required, providing detailed information about direct and indirect owners, as well as any additional business activity that may affect the application.
- Once all sections are completed, review the entire form for accuracy and completeness. Save your changes.
- You can now download, print, or share the completed SEC1490 form as needed.
Complete your SEC1490 application online today to ensure compliance with the SEC regulations.
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Get answers to your most pressing questions about US Legal Forms API.
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.
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 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.
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 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.
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.
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.
What is form BD investment related?
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 Registration Depository (“CRD”) system, operated by FINRA.
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