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

Broker-Dealer Registration and Reporting

SEC · final-rule · Published 1999-05-10 · Effective 1999-06-09 · 64 FR 25144

Document

Document number
99-11359
Federal Register citation
64 FR 25144
CFR reference
17 CFR 240
Type
Rule
Action
Final rule.
Category
final-rule
Agency
US Securities and Exchange Commission
Publication date
1999-05-10
Effective date
1999-06-09
Docket
Release No. 34-41356

Abstract

The Securities and Exchange Commission is amending Form BDW and related filing procedures under the Securities Exchange Act of 1934. The amendments implement changes recommended to allow filings from the World Wide Web. The amendments clarify Form BDW and its filing procedures. Some other minor rule revisions relating to the status of Form BDW as a report under the Securities Exchange Act of 1934 and when a filed Form BDW becomes effective are also being adopted.

Source

Authoritative
Federal Register document
Machine
JSON-LD · Markdown