← Independent regulator rules (SEC/Fed/FDIC/SBA/FTC/NCUA/CPSC/FHFA/EEOC/NLRB)

Technical Amendments to Form BD and Form BDW

SEC · final-rule · Published 2023-05-23 · Effective 2023-05-23 · 88 FR 32963

Document

Document number
2023-10442
Federal Register citation
88 FR 32963
CFR reference
17 CFR 249
Type
Rule
Action
Final rule; technical amendments.
Category
final-rule
Agency
US Securities and Exchange Commission
Publication date
2023-05-23
Effective date
2023-05-23
Docket
Release No. 34-97478

Abstract

The Securities and Exchange Commission ("Commission") is making technical amendments to Form BD and Form BDW, the uniform broker-dealer registration form and the uniform request for withdrawal from broker-dealer registration, respectively. The technical amendments will update the current list of self-regulatory organizations ("SROs") and government jurisdictions listed on Form BD and Form BDW, and make conforming changes to the definition of "jurisdiction" in the forms.

Source

Authoritative
Federal Register document
Machine
JSON-LD · Markdown