Form BD-N (SEC1500) Notice of Registration as a Broker-Dealer for the Purpose of Trading Security Futures Products Pursuant to Section 15(B)(11) of the Securities Exchange Act of 1934

Form BD-N (SEC1500) Notice of Registration as a Broker-Dealer for the Purpose of Trading Security Futures Products Pursuant to Section 15(B)(11) of the Securities Exchange Act of 1934

What Is Form BD-N (SEC1500)?

This is a legal form that was released by the U.S. Securities and Exchange Commission on January 1, 2008 and used country-wide. As of today, no separate filing guidelines for the form are provided by the issuing department.

FAQ

Q: What is Form BD-N?
A: Form BD-N is a notice of registration as a broker-dealer for the purpose of trading security futures products.

Q: What is the purpose of Form BD-N?
A: The purpose of Form BD-N is to notify the Securities and Exchange Commission (SEC) of the intention to register as a broker-dealer for trading security futures products.

Q: What law does Form BD-N pertain to?
A: Form BD-N pertains to Section 15(B)(11) of the Securities Exchange Act of 1934.

Q: Who is required to file Form BD-N?
A: Broker-dealers who wish to trade security futures products are required to file Form BD-N.

Q: What information is included in Form BD-N?
A: Form BD-N includes information about the broker-dealer's ownership, financials, and other details related to trading security futures products.

Q: What is the SEC?
A: The Securities and Exchange Commission (SEC) is a government agency responsible for regulating securities markets in the United States.

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Form Details:

  • Released on January 1, 2008;
  • The latest available edition released by the U.S. Securities and Exchange Commission;
  • Easy to use and ready to print;
  • Yours to fill out and keep for your records;
  • Compatible with most PDF-viewing applications;
  • Fill out the form in our online filing application.

Download a fillable version of Form BD-N (SEC1500) by clicking the link below or browse more documents and templates provided by the U.S. Securities and Exchange Commission.

Download Form BD-N (SEC1500) Notice of Registration as a Broker-Dealer for the Purpose of Trading Security Futures Products Pursuant to Section 15(B)(11) of the Securities Exchange Act of 1934

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  • Form BD-N (SEC1500) Notice of Registration as a Broker-Dealer for the Purpose of Trading Security Futures Products Pursuant to Section 15(B)(11) of the Securities Exchange Act of 1934

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  • Form BD-N (SEC1500) Notice of Registration as a Broker-Dealer for the Purpose of Trading Security Futures Products Pursuant to Section 15(B)(11) of the Securities Exchange Act of 1934, Page 2

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  • Form BD-N (SEC1500) Notice of Registration as a Broker-Dealer for the Purpose of Trading Security Futures Products Pursuant to Section 15(B)(11) of the Securities Exchange Act of 1934, Page 3

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  • Form BD-N (SEC1500) Notice of Registration as a Broker-Dealer for the Purpose of Trading Security Futures Products Pursuant to Section 15(B)(11) of the Securities Exchange Act of 1934, Page 4

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  • Form BD-N (SEC1500) Notice of Registration as a Broker-Dealer for the Purpose of Trading Security Futures Products Pursuant to Section 15(B)(11) of the Securities Exchange Act of 1934, Page 1
  • Form BD-N (SEC1500) Notice of Registration as a Broker-Dealer for the Purpose of Trading Security Futures Products Pursuant to Section 15(B)(11) of the Securities Exchange Act of 1934, Page 2
  • Form BD-N (SEC1500) Notice of Registration as a Broker-Dealer for the Purpose of Trading Security Futures Products Pursuant to Section 15(B)(11) of the Securities Exchange Act of 1934, Page 3
  • Form BD-N (SEC1500) Notice of Registration as a Broker-Dealer for the Purpose of Trading Security Futures Products Pursuant to Section 15(B)(11) of the Securities Exchange Act of 1934, Page 4
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