SEC Rule 15b1-1
E512108
SEC Rule 15b1-1 is a U.S. Securities and Exchange Commission regulation that governs the registration of broker-dealers, including the requirement to file Form BD.
Statements (25)
| Predicate | Object |
|---|---|
| instanceOf |
SEC rule
ⓘ
U.S. securities regulation ⓘ |
| appliesTo |
broker-dealers
ⓘ
firms engaged in effecting securities transactions for others ⓘ firms engaged in trading securities for their own account as part of a regular business ⓘ |
| category | broker-dealer regulation ⓘ |
| codifiedIn | 17 CFR § 240.15b1-1 ⓘ |
| complements | Form BD instructions NERFINISHED ⓘ |
| enforcedBy | Division of Trading and Markets of the SEC NERFINISHED ⓘ |
| governs |
procedure for registration of brokers
ⓘ
procedure for registration of dealers ⓘ |
| issuedBy | U.S. Securities and Exchange Commission NERFINISHED ⓘ |
| jurisdiction |
United States of America
ⓘ
surface form:
United States
|
| language | English ⓘ |
| legalBasis | Securities Exchange Act of 1934 NERFINISHED ⓘ |
| partOf | SEC rules under the Securities Exchange Act of 1934 ⓘ |
| purpose |
to ensure standardized disclosure by broker-dealers
ⓘ
to establish the method of applying for broker-dealer registration ⓘ |
| referencesForm | Form BD NERFINISHED ⓘ |
| regulates | broker-dealer registration ⓘ |
| relatedTo | Section 15(b) of the Securities Exchange Act of 1934 NERFINISHED ⓘ |
| requires |
application for registration as a broker or dealer
ⓘ
use of the uniform application form for broker-dealer registration ⓘ |
| requiresComplianceBy | registered broker-dealers ⓘ |
| requiresFilingOf | Form BD NERFINISHED ⓘ |
Referenced by (1)
Full triples — surface form annotated when it differs from this entity's canonical label.