Form BD

BD Form

A form that broker-dealer firms must file with the SEC. It contains information on each firm's officers and finances. See also: Registration.

Form BD

An SEC form to apply for registration as a broker or dealer of securities, or as a government securities broker or dealer, and to amend a registration. Form BD provides background information on the applicant.
References in periodicals archive ?
will prepare and file an Amended Form BD with the Securities and Exchange commission, FINRA and the State(s) Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, Ohio, Oklahoma, Oregon, Pennsylvania, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virgin Islands, Virginia, Washington, West Virginia, Wisconsin, and Wyoming, indicating the 100 percent change in ownership of the company and listing the new officers and directors.
To facilitate that system's development, the SEC has approved a new Form BR that will replace the current NYSE Branch Office Application Form, Schedule E of Form BD and certain state branch office forms.
Additionally, a member firm's original Form BD application, the initial regulatory information required for each member firm, would also be made available along with regulatory filings as for individuals.
The proposed amendments also clarify restrictions on the sale of new issues to direct and/or indirect owners of a broker/dealer as contained in Form BD.