Form BD (SEC Form 1490) Uniform Application for Broker-Dealer Registration

What Is Form BD (SEC Form 1490)?

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?
A: Form BD is the Uniform Application for Broker-Dealer Registration.

Q: Who needs to file Form BD?
A: Any firm or individual seeking to become a registered broker-dealer needs to file Form BD.

Q: What information is required in Form BD?
A: Form BD requires information about the firm's business activities, its management, its disciplinary history, and other relevant details.

Q: Can Form BD be filed electronically?
A: Yes, Form BD can be filed electronically through the SEC's Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system.

Q: Is there a fee for filing Form BD?
A: Yes, there is a fee associated with filing Form BD. The amount depends on the type of registration being sought.