17 CFR § 249.501 - Form BD, for application for registration as a broker and dealer or to amend or supplement such an application.

---
identifier: "/us/cfr/t17/s249.501"
source: "ecfr"
legal_status: "authoritative_unofficial"
title: "17 CFR § 249.501 - Form BD, for application for registration as a broker and dealer or to amend or supplement such an application."
title_number: 17
title_name: "Commodity and Securities Exchanges"
section_number: "249.501"
section_name: "Form BD, for application for registration as a broker and dealer or to amend or supplement such an application."
chapter_name: "SECURITIES AND EXCHANGE COMMISSION"
part_number: "249"
part_name: "FORMS, SECURITIES EXCHANGE ACT OF 1934"
positive_law: false
currency: "2026-04-05"
last_updated: "2026-04-05"
format_version: "1.1.0"
generator: "[email protected]"
authority: "15 U.S.C. 78a  and 7201  12 U.S.C. 5461  18 U.S.C. 1350; Sec. 953(b) Pub. L. 111-203, 124 Stat. 1904; Sec. 102(a)(3) Pub. L. 112-106, 126 Stat. 309 (2012), Sec. 107 Pub. L. 112-106, 126 Stat. 313 (2012), Sec. 72001 Pub. L. 114-94, 129 Stat. 1312 (2015), and secs. 2 and 3 Pub. L. 116-222, 134 Stat. 1063 (2020), unless otherwise noted."
cfr_part: "249"
---


# 249.501 Form BD, for application for registration as a broker and dealer or to amend or supplement such an application.

(a) This form shall be used for application for registration as a broker-dealer under the Securities Exchange Act of 1934, or to amend such application.

(b) Interim Form BD shall be used for application for registration as broker-dealer under the Securities Exchange Act of 1934, or to amend such application, only by order of the Commission. In the event broker-dealers are required to comply with their filing obligations on Interim Form BD, the form will be made available at the Commission's Publication Office at (202) 942-4040.

[33 FR 18995, Dec. 20, 1968]

For  citations affecting Form BD, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at