# 17 C.F.R. § 240.15b3-1 (2026): Amendments to application

> Federal · Regulations · In force

URL: https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_15b3_1

## Section

- **Citation:** 17 C.F.R. § 240.15b3-1 (2026)
- **Heading:** Amendments to application
- **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 / § 240.15b3-1: § 240.15b3-1   Amendments to application.

## 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]

## 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)

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Source: Frix Law Library, https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_15b3_1. Check the current official text before relying on it. Not legal advice.