Form BD definition

Form BD has the meaning set forth in Section 4.15(d).
Form BD means the Uniform Application for Broker-Dealer Registration.
Form BD means the current Uniform Application for Broker-Dealer Registration as issued by FINRA.

Examples of Form BD in a sentence

  • Dealer further agrees promptly to send Distributor copies of (i) any report filed pursuant to NASD Conduct Rule 3070, including, without limitation quarterly reports filed pursuant to Rule 3070(c), (ii) reports filed with any other self-regulatory organization in lieu of Rule 3070 reports pursuant to Rule 3070(e) and (iii) amendments to Dealer's Form BD.

  • Any person listed, or required to be listed, in Schedule B of a Form BD, except persons identified by ownership of less than 10%.

  • Any person that directly or indirectly owns 10% or more of a public reporting company listed, or required to be listed, in Schedule B of a Form BD.

  • Any person listed, or required to be listed, in Schedule A of a Form BD, except persons identified by ownership of less than 10%.

  • Any person listed, or required to be listed, in Schedule C of a Form BD that meets the criteria of (e)(bullet point 1) or (e) (bullet point 2) above.


More Definitions of Form BD

Form BD shall have the meaning set forth in Section 5.19(b).
Form BD means the application for registration as a bro- ker-dealer under the Securities Exchange Act of 1934, 17 U.S.C.
Form BD shall have the meaning set forth in Section 3.16(g).
Form BD means the application for registration as a broker-dealer under the Securities Exchange Act of 1934, 17 U.S.C. §78a et seq., as prescribed by 17 C.F.R. § 249.501, and available athttp://www.sec.gov/about/forms/formbd.pdf.
Form BD shall have the meaning ascribed to such term in Section 5.2(aa).
Form BD is defined in Section 3.9(c).
Form BD means the Uniform Application for Broker-Dealer Registration required to be filed by broker-dealers with the SEC.