Title 17

PART 249 SUBPART F

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

• 15 U.S.C. 78a et seq. and 7201 et seq.; 12 U.S.C. 5461 et seq.; 18 U.S.C. 1350; Sec. 953(b), Pub. L. 111-203, 124 Stat. 1904; Sec. 102(a)(3), Pub. L. 112-106, 126 Stat. 309 (2012); Sec. 107, Pub. L. 112-106, 126 Stat. 313 (2012), and Sec. 72001, Pub. L. 114-94, 129 Stat. 1312 (2015), unless otherwise noted.

17:4.0.1.1.10.6.128.1	SECTION 249.501	249.501 Form BD, for application for registration as a broker and dealer or to amend or supplement such an application.
17:4.0.1.1.10.6.128.2	SECTION 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.
17:4.0.1.1.10.6.128.3	SECTION 249.501b	249.501b Form BD-N for notice registration as a broker-dealer.
17:4.0.1.1.10.6.128.4	SECTION 249.507	249.507 Form 7-M, consent to service of process by an individual nonresident broker-dealer.
17:4.0.1.1.10.6.128.5	SECTION 249.508	249.508 Form 8-M, consent to service of process by a corporation which is a nonresident broker-dealer.
17:4.0.1.1.10.6.128.6	SECTION 249.509	249.509 Form 9-M, consent to service of process by a partnership nonresident broker-dealer.
17:4.0.1.1.10.6.128.7	SECTION 249.510	249.510 Form 10-M, consent to service of process by a nonresident general partner of a broker-dealer firm.

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