Maine Form BD is a series of state forms used to register, register changes to, or terminate a business entity in the state of Maine. It allows businesses to file for registration or other changes such as amendments to their Articles of Incorporation or merger agreements. There are three types of Maine Form BD: Form BD-1, Form BD-2, and Form BD-3. Form BD-1 is the initial registration form for business entities registered in Maine; Form BD-2 is used to amend the Articles of Incorporation or merger agreements; and Form BD-3 is used to terminate a business entity registered in Maine.
Maine Form BD
State:
Maine
Control #:
ME-SKU-0126
Format:
PDF
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Form BD
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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.
4. SCHEDULE D ? Schedule D provides additional space for explaining answers to Item 1C(2), and ''yes'' answers to items 5, 7, 8, 9,10,12, and 13 of Form BD.
The initial Hard Copy Form BD must bear an original signature on behalf of the Applicant (mechanical reproductions are not acceptable) and the signature date field must reflect a complete month, day and year.
SEC Form BD (the "Uniform Application for Broker-Dealer Registration") requires that the applying company disclose background information, including management policies that direct the firm, the names of executives and general partners, successor information, and any current legal proceedings or previous securities
The Form BD is the Uniform Application for Broker-Dealer registration with the SEC, SROs and jurisdictions. It provides background information on the applicant and the nature of its business.
Form BR enables firms to register a branch office either by "registering" or "notice filing." Although SROs and jurisdictions may use these terms interchangeably, registering typically refers to a process that requires an approval by FINRA, other SRO or a jurisdiction before a branch office may begin doing business.
The Form BD is the Uniform Application for Broker-Dealer registration with the SEC, SROs and jurisdictions. It provides background information on the applicant and the nature of its business.
Pertaining to securities, commodities, banking, insurance, or real estate (including, but not limited to, acting as or being associated with a broker-dealer, issuer, investment company, investment adviser, futures sponsor, bank, or savings association).