# 17 C.F.R. § 240.15b1-1 (2026): Application for registration of brokers or dealers

> Federal · Regulations · In force

URL: https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_15b1_1

## Section

- **Citation:** 17 C.F.R. § 240.15b1-1 (2026)
- **Heading:** Application for registration of brokers or dealers
- **Jurisdiction:** Federal
- **Kind:** Regulations
- **Status:** In force
- **Text as of:** August 14, 2026
- **Source:** Compiled text
- **Location:** Title 17 CFR: Commodity and Securities Exchanges / Chapter II: SECURITIES AND EXCHANGE COMMISSION / Part 240: GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 / Subpart A: Rules and Regulations Under the Securities Exchange Act of 1934 / § 240.15b1-1: § 240.15b1-1   Application for registration of brokers or dealers.

## Text

(a) An application for registration of a broker or dealer that is filed pursuant to section 15(b) of the Act (15 U.S.C. 78o(b)) shall be filed on Form BD (§ 249.501 of this chapter) in accordance with the instructions to the form. A broker or dealer that is an OTC derivatives dealer shall indicate where appropriate on Form BD that the type of business in which it is engaged is that of acting as an OTC derivatives dealer.
(b) Every application for registration of a broker or dealer that is filed on or after January 25, 1993, shall be filed with the Central Registration Depository operated by the Financial Industry Regulatory Authority, Inc.
(c) An application for registration that is filed with the Central Registration Depository pursuant to this section shall be considered a “report” filed with the Commission for purposes of Sections 15(b), 17(a), 18(a), 32(a) (15 U.S.C. 78o(b), 78q(a), 78r(a), 78ff(a)) and other applicable provisions of the Act.
[19 FR 1041, Feb. 24, 1954. Redesignated at 30 FR 11851, Sept. 16, 1965, and amended at 58 FR 14, Jan. 4, 1993; 63 FR 59397, Nov. 3, 1998; 64 FR 25147, May 10, 1999; 73 FR 4692, Jan. 28, 2008]

## Nearby sections

- [17 C.F.R. § 240.0-1 (2026) § 240.0-1   Definitions.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_0_1.md)
- [17 C.F.R. § 240.0-2 (2026) § 240.0-2   Business hours of the Commission.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_0_2.md)
- [17 C.F.R. § 240.0-4 (2026) § 240.0-4   Nondisclosure of information obtained in examinations and investigations.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_0_4.md)
- [17 C.F.R. § 240.0-5 (2026) § 240.0-5   Reference to rule by obsolete designation.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_0_5.md)
- [17 C.F.R. § 240.0-6 (2026) § 240.0-6   Disclosure detrimental to the national defense or foreign policy.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_0_6.md)
- [17 C.F.R. § 240.0-8 (2026) § 240.0-8   Application of rules to registered broker-dealers.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_0_8.md)
- [17 C.F.R. § 240.0-10 (2026) § 240.0-10   Small entities under the Securities Exchange Act for purposes of the Regulatory Flexibility Act.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_0_10.md)
- [17 C.F.R. § 240.0-12 (2026) § 240.0-12   Commission procedures for filing applications for orders for exemptive relief under Section 36 of the Exchange Act.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_0_12.md)
- [17 C.F.R. § 240.0-13 (2026) § 240.0-13   Commission procedures for filing applications to request a substituted compliance or listed jurisdiction order under the Exchange Act.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_0_13.md)
- [17 C.F.R. § 240.3a4-1 (2026) § 240.3a4-1   Associated persons of an issuer deemed not to be brokers.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_3a4_1.md)
- [17 C.F.R. § 240.3a5-2 (2026) § 240.3a5-2   Exemption from the definition of “dealer” for banks effecting transactions in securities issued pursuant to Regulation S.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_3a5_2.md)
- [17 C.F.R. § 240.3a5-3 (2026) § 240.3a5-3   Exemption from the definition of “dealer” for banks engaging in securities lending transactions.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_3a5_3.md)
- [17 C.F.R. § 240.3a11-1 (2026) § 240.3a11-1   Definition of the term “equity security.”](https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_3a11_1.md)
- [17 C.F.R. § 240.3a12-1 (2026) § 240.3a12-1   Exemption of certain mortgages and interests in mortgages.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_3a12_1.md)

---

Source: Frix Law Library, https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_15b1_1. Check the current official text before relying on it. Not legal advice.