Form Bd Uniform Application For Broker-Dealer Registration Page 7
ADVERTISEMENT
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28FORM BD
OFFICIAL
OFFICIAL USE
USE
Applicant Name:______________________________________________________________________
ONLY
PAGE 3
Date:____________________
Firm CRD No.: _______________
8.
Does applicant have any arrangement with any other person, firm, or organization under which:
YES NO
A. any books or records of applicant are kept or maintained by such other person, firm or organization? ...................
B. accounts, funds, or securities of the applicant are held or maintained by such other person, firm, or organization?
C. accounts, funds, or securities of customers of the applicant are held or maintained by such other person, firm or
organization? ...................................................................................................................................................................
For purposes of 8B and 8C, do not include a bank or satisfactory control location as defined in paragraph (c) of
Rule 15c3-3 under the Securities Exchange Act of 1934 (17 CFR 240.15c3-3).
if “Yes” to any part of Item 8, complete appropriate items on Schedule D, Page 1, Section IV.
9.
Does any person not named in Item 1 or Schedules A, B, or C, directly or indirectly:
A. control the management or policies of the applicant through agreement or otherwise? ............................................
B. wholly or partially finance the business of applicant? ...................................................................................................
Do not answer “Yes” to 9B if the person finances the business of the applicant through: 1) a public offering of securities
made pursuant to the Securities Act of 1933; 2) credit extended in the ordinary course of business by suppliers, banks,
and others; or 3) a satisfactory subordination agreement, as defined in Rule 15c3-1 under the Securities Exchange Act
of 1934 (17 CFR 240.15c3-1).
If “Yes’’ to any part of Item 9, complete appropriate items on Schedule D, Page 1, Section IV.
10. A. Directly or indirectly, does applicant control, is applicant controlled by, or is applicant under common control with,
any partnership, corporation, or other organization that is engaged in the securities or investment advisory
business? .........................................................................................................................................................................
If “Yes” to Item 10A, complete appropriate items on Schedule D, Page 2, Section V.
B. Directly or indirectly, is applicant controlled by any bank holding company, national bank, state member bank of
the Federal Reserve System, state non-member bank, savings bank or association, credit union, or foreign bank? ..
If “Yes” to Item 10B, complete appropriate items on Schedule D, Page 3, Section VI.
11. Use the appropriate DRP for providing details to “yes” answers to the questions in Item 11. Refer to the Explanation of
Terms section of Form BD Instructions for explanations of italicized terms.
A. In the past ten years has the applicant or a control affiliate:
(1) been convicted of or pled guilty or nolo contendere (“no contest’’) in a domestic, foreign or military court
to any felony? ...........................................................................................................................................................
(2) been charged with any felony? ...............................................................................................................................
B. In the past ten years has the applicant or a control affiliate:
(1) been convicted of or pled guilty or nolo contendere (“no contest’’) in a domestic, foreign or military court to
a misdemeanor involving: investments or an investment-related business, or any fraud, false statements
or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, extortion, or a conspiracy
to commit any of these offenses? ...........................................................................................................................
(2) been charged with a misdemeanor specified in 11B(1)? .......................................................................................
C. Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
(1) found the applicant or a control affiliate to have made a false statement or omission? .......................................
(2) found the applicant or a control affiliate to have been involved in a violation of its regulations or statutes? ......
(3) found the applicant or a control affiliate to have been a cause of an investment-related business having its
authorization to do business denied, suspended, revoked, or restricted? ...........................................................
(4) entered an order against the applicant or a control affiliate in connection with investment-related activity? ......
(5) imposed a civil money penalty on the applicant or a control affiliate, or ordered the applicant or a control
affiliate to cease and desist from any activity? .......................................................................................................
ADVERTISEMENT
0 votes
Related Articles
Related forms
Related Categories
Parent category: Legal