17 CFR 249.501b - Form BD-N for notice registration as a broker-dealer.

Regulations last checked for updates: Nov 22, 2024

Title 17 - Commodity and Securities Exchanges last revised: Nov 19, 2024

View all text of Subpart F [§ 249.501 - § 249.510]

§ 249.501b - Form BD-N for notice registration as a broker-dealer.

This form shall be used for notice of registration as a broker-dealer pursuant to Section 15(b)(11)(A) of the Act (15 U.S.C. 78o(b)(11)(A)) for the limited purpose of trading security futures products, or to amend such notice.

[66 FR 45147, Aug. 27, 2001] Editorial Note:For Federal Register citations affecting Form BD-N, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.

authority: 15 U.S.C. 78a

cite as: 17 CFR 249.501b