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Form BD-N (SEC1500) Notice of Registration as a Broker-Dealer for the Purpose of Trading Security Futures Products Pursuant to Section 15(B)(11) of the Securities Exchange Act of 1934
What Is Form BD-N (SEC1500)?
This is a legal form that was released by the U.S. Securities and Exchange Commission on January 1, 2008 and used country-wide. As of today, no separate filing guidelines for the form are provided by the issuing department.
FAQ
Q: What is Form BD-N?
A: Form BD-N is a notice of registration as a broker-dealer for the purpose of trading security futures products.
Q: What is the purpose of Form BD-N?
A: The purpose of Form BD-N is to notify the Securities and Exchange Commission (SEC) of the intention to register as a broker-dealer for trading security futures products.
Q: What law does Form BD-N pertain to?
A: Form BD-N pertains to Section 15(B)(11) of the Securities Exchange Act of 1934.
Q: Who is required to file Form BD-N?
A: Broker-dealers who wish to trade security futures products are required to file Form BD-N.
Q: What information is included in Form BD-N?
A: Form BD-N includes information about the broker-dealer's ownership, financials, and other details related to trading security futures products.
Q: What is the SEC?
A: The Securities and Exchange Commission (SEC) is a government agency responsible for regulating securities markets in the United States.
Form Details:
- Released on January 1, 2008;
- The latest available edition released by the U.S. Securities and Exchange Commission;
- Easy to use and ready to print;
- Yours to fill out and keep for your records;
- Compatible with most PDF-viewing applications;
- Fill out the form in our online filing application.
Download a fillable version of Form BD-N (SEC1500) by clicking the link below or browse more documents and templates provided by the U.S. Securities and Exchange Commission.
Download Form BD-N (SEC1500) Notice of Registration as a Broker-Dealer for the Purpose of Trading Security Futures Products Pursuant to Section 15(B)(11) of the Securities Exchange Act of 1934
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