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Commission Requirements for Registration Under Section 15 of the Exchange Act

SEC · final-rule · Published 1998-02-25 · Effective 1998-03-16 · 63 FR 9413

Document

Document number: 98-4711
Federal Register citation: 63 FR 9413
CFR reference: 17 CFR 249
Type: Rule
Action: Final rule.
Category: final-rule
Agency: US Securities and Exchange Commission
Publication date: 1998-02-25
Effective date: 1998-03-16
Docket: Release No. 34-39677

Abstract

The Securities and Exchange Commission is adopting Interim Form BD for the registration of brokers and dealers under the Securities Exchange Act of 1934. The Interim Form is intended to enhance the ability of the public to obtain information regarding securities professionals until the redesigned CRD system is operational.

Source

Authoritative: Federal Register document
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