Examples of Form BD in a sentence

The Exchange will only permit the Series 14 for those designated as Chief Compliance Officers on Schedule A of Form BD.
No person may become associated with a Member in the capacity of a direct owner or executive that is required to be disclosed on Form BD unless and until the Exchange approves the association.
For purposes of this paragraph (d), a “Principal” shall be any individual responsible for supervising the activities of a Member’s Authorized Traders and each person designated as a Chief Compliance Officer on Schedule A of Form BD.
A statement indicating whether any person listed on Schedule A of Applicant’s Form BD is currently, or has been in the last 10 years, the subject of any investigation or disciplinary proceeding conducted by any SRO, or by any federal or state securities or futures regulatory agency or commission, regarding Applicant’s activities that is not disclosed on a Form U-4 for such individuals.
For purposes of this paragraph (i), a “Principal” shall be any individual responsible for supervising the activities of a Member’s Authorized Traders, and each person designated as a Chief Compliance Officer on Schedule A of the Member’s Form BD.

More Definitions of Form BD

Form BD shall have the meaning set forth in Section 5.26(b).

Form BD means the Uniform Application for Broker-Dealer Registration required to be filed by broker-dealers with the

Form BD shall have the meaning stated in Section 3.24(b).

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 means the application for registration as a bro- ker-dealer under the Securities Exchange Act of 1934, 17 U.S.C.

Form BD as defined in Section 4.13(e).

Form BD shall have the meaning ascribed to such term in Section 5.2(aa).