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Technical Amendments to Form BD and Form BDW

SEC · final-rule · Published 2007-04-24 · Effective 2007-04-23 · 72 FR 20223

Document

Document number
E7-7746
Federal Register citation
72 FR 20223
CFR reference
17 CFR 249
Type
Rule
Action
Final rule; technical amendments.
Category
final-rule
Agency
US Securities and Exchange Commission
Publication date
2007-04-24
Effective date
2007-04-23
Docket
Release No. 34-55643

Abstract

The Securities and Exchange Commission ("Commission" or "SEC") 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 "jurisdiction" in the forms.

Source

Authoritative
Federal Register document
Machine
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