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| View EO 12866 Meetings | Printer-Friendly Version Download RIN Data in XML |
| SEC | RIN: 3235-AJ52 | Publication ID: Spring 2011 |
| Title: Form BD and Form BDW | |
| Abstract: The Division is considering recommending that the Commission propose amendments to Forms BD and BDW, the uniform broker-dealer registration form and the uniform request for withdrawal from broker-dealer registration, respectively. The proposed amendments would update the forms in light of market, legal, and technological developments; clarify provisions of the forms; and make them easier to complete. | |
| Agency: Securities and Exchange Commission(SEC) | Priority: Substantive, Nonsignificant |
| RIN Status: Previously published in the Unified Agenda | Agenda Stage of Rulemaking: Proposed Rule Stage |
| Major: Undetermined | Unfunded Mandates: No |
| CFR Citation: Not Yet Determined (To search for a specific CFR, visit the Code of Federal Regulations.) | |
| Legal Authority: 15 USC 78a et seq | |
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Legal Deadline:
None |
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Timetable:
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| Regulatory Flexibility Analysis Required: Undetermined | Government Levels Affected: Undetermined |
| Federalism: No | |
| Included in the Regulatory Plan: No | |
| RIN Data Printed in the FR: No | |
|
Agency Contact: Bonnie L. Gauch Division of Trading and Markets Securities and Exchange Commission Division of Market Regulation, 100 F Street NE, Washington, DC 20549 Phone:202 551-5524 Fax:202 772-9273 |
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