SEC Form BD


SEC Form BD
A form that is completed and submitted to the Securities and Exchange Commission in order to apply for registration as a securities broker-dealer, including for government securities. The form requires that the firm disclose background information, including management policies that direct the company, the names of executives and general partners, successor information and any current legal proceedings or previous securities violations.

The provisions that require all securities brokers be registered with the SEC are covered under Section 15 of the Securities Exchange Act of 1934.

Form BD is also used to register with self-regulatory agencies and jurisdictions through the Central Registration Depository (CRD), which is operated by the Financial Industry Regulatory Authority (FINRA).


Investment dictionary. . 2012.

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