SEC Form BD | Practical Law
SEC Form BD
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SEC Form BD
Practical Law Glossary Item w-000-4892
(Approx. 3 pages)
Glossary
SEC Form BD
The
SEC
Uniform Application for Broker-Dealer Registration form that
broker-dealers
must file to register with the SEC under Section 15(b) of the
Exchange Act
, the
SROs
and with the various states under their
blue sky laws
through the
Central Registration Depository
(CRD) system, operated by
FINRA
.
For information on the broker-dealer registration process, see
Practice Note, Broker-Dealer Registration: Overview
.