Copyright © 2012, Campbell R. Harvey. All Rights Reserved.
A form that broker-dealer firms must file with the SEC. It contains information on each firm's officers and finances. See also: Registration.
Farlex Financial Dictionary. © 2012 Farlex, Inc. All Rights Reserved
A document containing information on a firm's officers and capital that is filed by broker-dealers with the SEC.
Wall Street Words: An A to Z Guide to Investment Terms for Today's Investor by David L. Scott. Copyright © 2003 by Houghton Mifflin Company. Published by Houghton Mifflin Company. All rights reserved. All rights reserved.