Code of Federal Regulations · Section
§ 249.501b — b Form Bd-n For Notice Registration As A Broker-dealer
17 C.F.R. § 249.501b
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This form shall be used for notice of registration as a broker-dealer pursuant to Section 15(b)(11)(A) of the Act (15 U.S.C. 78o(b)(11)(A)) for the limited purpose of trading security futures products, or to amend such notice.
For Federal Register citations affecting Form BD-N, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.
Authorizing Statute
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Registration and regulation of brokers and dealers15 U.S.C. § 78o
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Definitions and application15 U.S.C. § 78c
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Failure of corporate officers to certify financial reports18 U.S.C. § 1350
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Periodical and other reports15 U.S.C. § 78m
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Operations of designated financial market utilities12 U.S.C. § 5465
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Findings and purposes12 U.S.C. § 5461
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Short title15 U.S.C. § 78a