Subpart F—Forms for Registration of Brokers and Dealers Transacting Business on Over-the-Counter Markets

Sections

• 249.501
  § 249.501 Form BD, for application for registration as a broker and dealer or to amend or supplement such an application.
• 249.501a
  § 249.501a Form BDW, notice of withdrawal from registration as broker-dealer pursuant to § 240.15b6-1, § 240.15Bc3-1, or § 240.15Cc1-1 of this chapter.
• 249.501b
  § 249.501b Form BD-N for notice registration as a broker-dealer.
• 249.507
  § 249.507 Form 7-M, consent to service of process by an individual nonresident broker-dealer.
• 249.508
  § 249.508 Form 8-M, consent to service of process by a corporation which is a nonresident broker-dealer.
• 249.509
  § 249.509 Form 9-M, consent to service of process by a partnership nonresident broker-dealer.
• 249.510
  § 249.510 Form 10-M, consent to service of process by a nonresident general partner of a broker-dealer firm.