Form Bd Uniform Application For Broker-Dealer Registration Page 12
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28Schedule C of FORM BD
OFFICIAL USE
AMENDMENTS TO
Applicant Name:_____________________________________________
SCHEDULES A & B
Date:____________________
Firm CRD No.: _______________
(Amendments to answers for Form BD Item 3)
1. This Schedule C is used to amend Schedules A and B of Form BD. Refer to those schedules for specific instructions for completing this
Schedule C. Complete each column. File with a completed Execution Page (Page 1).
2. In the Type of Amendment (“Type of Amd.”) column, indicate “A” (addition), “D” (deletion), or“C” (change in information about the same
person).
3. Ownership codes are:
NA - less than 5%
B - 10% but less than 25%
D - 50% but less than 75%
F - Other General Partners
A - 5% but less than 10%
C - 25% but less than 50%
E - 75% or more
4. List below all changes to Schedule A: (DIRECT OWNERS AND EXECUTIVE OFFICERS)
Type
Date Title or
Control
CRD No.
If None:
Official
FULL LEGAL NAME
DE/FE/I
of
Title or Status
Status Acquired
Ownership
Person
S. S. No., IRS Tax No
Use
(Individuals: Last Name, First Name, Middle Name)
Amd.
Code
or Employer ID
Only
MM YYYY
PR
5. List below all changes to Schedule B: (INDIRECT OWNERS)
Type
Date Status
Control
CRD No. If None:
Official
FULL LEGAL NAME
DE/FE/I
of
Entity in Which
Status
Acquired
Ownership
Person
S.S. No., IRS Tax No.
Use
(Individuals: Last Name, First Name, Middle Name)
Amd.
Interest is Owned
Code
or Employer ID.
Only
MM YYYY
PR
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