§ 240.15b3-1 Amendments to application.

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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 › § 240.15b3-1: § 240.15b3-1 Amendments to application.

This text was captured on Aug 14, 2026. It is a snapshot, not a live feed, so check the official code before relying on it.

Text

(a) If the information contained in any application for registration as a broker or dealer, or in any amendment thereto, is or becomes inaccurate for any reason, the broker or dealer shall promptly file with the Central Registration Depository (operated by the Financial Industry Regulatory Authority, Inc.) an amendment on Form BD correcting such information.

(b) Every amendment filed with the Central Registration Depository pursuant to this section shall constitute a “report” filed with the Commission within the meaning 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.

[58 FR 14, Jan. 4, 1993, as amended at 64 FR 25147, May 10, 1999; 64 FR 37593, July 12, 1999; 64 FR 42595, Aug. 5, 1999; 73 FR 4692, Jan. 28, 2008]

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