17 C.F.R. Subpart E—Forms for Statements Made in Connection With Exempt Tender Offers
Title 17 - Commodity and Securities Exchanges
Source: 64 FR 61406, Nov. 10, 1999, unless otherwise noted.
This form is used to report an issuer tender offer conducted in compliance with §240.13e–4(h)(8) of this chapter and a third-party tender offer conducted in compliance with §240.14d–1(c) of this chapter. This report also is used by a subject company pursuant to §240.14e–2(d) of this chapter. [64 FR 61406, Nov. 10, 1999] Editorial Note: For (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] Editorial Note: For (a) This form shall be used for filing a notice of withdrawal as broker-dealer pursuant to Rule 15b6–1 (§240.15b6–1 of this chapter), Rule 15Bc3–1 §240.15B3–1 of this chapter), or Rule 15Cc1–1 (§240.15Cc1–1 of this chapter). Under sections 15(b), 15B, 15C, 17(a), and 23(a) of the Securities Exchange Act of 1934 (17 CFR part 240), and the rules and regulations thereunder, the Commission is authorized to solicit the information required to be supplied by this form from registrants desiring to withdraw their registration as a broker-dealer. Disclosure of the information specified in this form is mandatory prior to processing of applications for withdrawal, except for social security account numbers, disclosure of which is voluntary. The information will be used for the primary purpose of determining whether it is in the public interest to permit a broker-dealer to withdraw his registration. This notice will be made a matter of public record. Therefore, any information, given will be available for inspection by any member of the public. Because of the public nature of the information the Commission can utilize it for a variety of purposes, including referral to other governmental authorities or securities self-regulatory organizations for investigatory purposes or in connection with litigation involving the Federal securities laws and other civil, criminal or regulatory statutes or provisions. Social security account numbers, if furnished, will assist the Commission in identifying registrants and, therefore, in promptly processing applications for withdrawal. Failure to disclose the information requested by Form BDW, except for social security account numbers, may result in the registrant not being permitted to withdraw his registration. (b) Interim Form BDW 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. [52 FR 16844, May 6, 1987] Editorial Note: For This form shall be used for notice of registration as a broker-dealer pursuant to Section 15(b)(11)(A) of the Act (15 U.S.C. 78o(b)(11)(A)) for the limited purpose of trading security futures products, or to amend such notice. [66 FR 45147, Aug. 27, 2001] This form shall be filed pursuant to Rule 15b1–5 (§240.15b1–5 of this chapter) by each individual nonresident broker-dealer registered or applying for registration pursuant to section 15 of the Act. [33 FR 18995, Dec. 20, 1968] Editorial Note: For This form shall be filed pursuant to Rule 15b1–5 (§240.15b1–5 of this chapter) by each corporate nonresident broker-dealer registered or applying for registration pursuant to section 15 of the Act. [33 FR 18995, Dec. 20, 1968] Editorial Note: For This form shall be filed pursuant to Rule 15b1–5 (§240.15b1–5 of this chapter) by each partnership nonresident broker-dealer registered or applying for registration pursuant to section 15 of the Act. [33 FR 18995, Dec. 20, 1968] Editorial Note: For This form shall be filed pursuant to Rule 15b1–5 (§240.15b1–5 of this chapter) by each nonresident general partner of a broker-dealer firm registered or applying for registration pursuant to section 15 of the Act. [33 FR 18995, Dec. 20, 1968] Editorial Note: For
Title 17: Commodity and Securities Exchanges
PART 249—FORMS, SECURITIES EXCHANGE ACT OF 1934
Subpart E—Forms for Statements Made in Connection With Exempt Tender Offers
§ 249.480 Form CB, tender offer statement in connection with a tender offer for a foreign private issuer.
Subpart F—Forms for Registration of Brokers and Dealers Transacting Business on Over-the-Counter Markets
§ 249.501 Form BD, for application for registration as a broker and dealer or to amend or supplement such an application.
§ 249.501a Form BDW, notice of withdrawal from registration as broker-dealer pursuant to §240.15b6–1, §240.15Bc3–1, or §240.15Cc1–1 of this chapter.
§ 249.501b Form BD-N for notice registration as a broker-dealer.
§ 249.507 Form 7–M, consent to service of process by an individual nonresident broker-dealer.
§ 249.508 Form 8–M, consent to service of process by a corporation which is a nonresident broker-dealer.
§ 249.509 Form 9–M, consent to service of process by a partnership nonresident broker-dealer.
§ 249.510 Form 10–M, consent to service of process by a nonresident general partner of a broker-dealer firm.