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Broker-Dealer Registration and Reporting

SEC · final-rule · Published 1999-07-12 · Effective 1999-07-30 · 64 FR 37586

Document

Document number
99-17459
Federal Register citation
64 FR 37586
CFR reference
17 CFR 240
Type
Rule
Action
Final rule.
Category
final-rule
Agency
US Securities and Exchange Commission
Publication date
1999-07-12
Effective date
1999-07-30
Docket
Release No. 34-41594

Abstract

The Securities and Exchange Commission is amending Form BD, the uniform broker-dealer registration form, and related rules under the Securities Exchange Act of 1934. The amendments modify the version of Form BD that was adopted in 1996 but never implemented. The primary purpose of the amendments is to support electronic filing in the new, Internet-based Central Registration Depository system. This computer system, which is operated by the National Association of Securities Dealers, Inc., maintains registration information regarding broker- dealers and their registered personnel. The changes adopted today direct how broker-dealers will make the transition to the new system, as well as how they will comply with their filing obligations on an ongoing basis.

Source

Authoritative
Federal Register document
Machine
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