Code of Federal Regulations · Section

§ 240.15b1-1 — b1-1 Application For Registration Of Brokers Or Dealers

17 C.F.R. § 240.15b1-1

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(a) An application for registration of a broker or dealer that is filed pursuant to section 15(b) of the Act (15 U.S.C. 78o(b)) shall be filed on Form BD (§ 249.501 of this chapter) in accordance with the instructions to the form. A broker or dealer that is an OTC derivatives dealer shall indicate where appropriate on Form BD that the type of business in which it is engaged is that of acting as an OTC derivatives dealer.

(b) Every application for registration of a broker or dealer that is filed on or after January 25, 1993, shall be filed with the Central Registration Depository operated by the Financial Industry Regulatory Authority, Inc.

(c) An application for registration that is filed with the Central Registration Depository pursuant to this section shall be considered a “report” filed with the Commission for purposes of Sections 15(b), 17(a), 18(a), 32(a) (15 U.S.C. 78o(b), 78q(a), 78r(a), 78ff(a)) and other applicable provisions of the Act.

17 C.F.R. § 240.15aa-2 17 C.F.R. § 240.15b1-2

Authorizing Statute

Jurisdiction of Commission; liability of principal for act of agent; Commodity Futures Trading Commission; transaction in interstate commerce
7 U.S.C. § 2
Records and reports
15 U.S.C. § 78q
Registration of securities
15 U.S.C. § 77f
Registration and regulation of brokers and dealers
15 U.S.C. § 78o
Foreign securities exchanges
15 U.S.C. § 78dd
Information required in registration statement
15 U.S.C. § 77g
General provisions of a liquidation proceeding
15 U.S.C. § 78fff
Necessity for regulation
15 U.S.C. § 78b
Proxies
15 U.S.C. § 78n
Classes of securities under this subchapter
15 U.S.C. § 77c
Registration requirements for securities
15 U.S.C. § 78l
Executive compensation and corporate governance
12 U.S.C. § 5221
Findings and purposes
12 U.S.C. § 5461
Definitions; promotion of efficiency, competition, and capital formation
15 U.S.C. § 77b
Creation; membership; compensation and expenses
12 U.S.C. § 241
Short title
15 U.S.C. § 78a
Trading by members of exchanges, brokers, and dealers
15 U.S.C. § 78k
Manipulative and deceptive devices
15 U.S.C. § 78j
Operations of designated financial market utilities
12 U.S.C. § 5465
Definitions and application
15 U.S.C. § 78c
National securities exchanges
15 U.S.C. § 78f
Rules, regulations, and orders; annual reports
15 U.S.C. § 78w
Comprehensive energy plan
15 U.S.C. § 781
Transaction fees
15 U.S.C. § 78ee
Failure of corporate officers to certify financial reports
18 U.S.C. § 1350