# 17 CFR § 240.15b11-1: Registration by notice of security futures product broker-dealers

> Federal · Regulations · In force

URL: https://www.frixlaw.com/law-library/statutes/ecfr-17-240.15b11-1

## Section

- **Citation:** 17 CFR § 240.15b11-1
- **Heading:** Registration by notice of security futures product broker-dealers
- **Jurisdiction:** Federal
- **Kind:** Regulations
- **Status:** In force
- **Text as of:** September 22, 2026
- **Source:** Publisher's official text
- **Location:** Title 17—Commodity and Securities Exchanges > CHAPTER II—SECURITIES AND EXCHANGE COMMISSION > PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 > Registration of Brokers and Dealers

## Text

(a) A broker or dealer may register by notice pursuant to section 15(b)(11)(A) of the Act (15 U.S.C. 78o(b)(11)(A)) if it:
(1) Is registered with the Commodity Futures Trading Commission as a futures commission merchant or an introducing broker, as those terms are defined in the Commodity Exchange Act (7 U.S.C. 1, et seq.), respectively;
(2) Is a member of the National Futures Association or another national securities association registered under section 15A(k) of the Act (15 U.S.C. 78o-3(k)); and
(3) Is not required to register as a broker or dealer in connection with transactions in securities other than security futures products.
(b) A broker or dealer registering by notice pursuant to section 15(b)(11)(A) of the Act (15 U.S.C. 78o(b)(11)(A)) must file Form BD-N (17 CFR 249.501b) in accordance with the instructions to the form. A broker or dealer registering by notice pursuant to this section must indicate where appropriate on Form BD-N that it satisfies all of the conditions in paragraph (a) of this section.
(c) If the information contained in any notice of registration filed on Form BD-N (17 CFR 249.501b) pursuant to this section is or becomes inaccurate for any reason, the broker or dealer shall promptly file an amendment on Form BD-N correcting such information.
(d) An application for registration by notice, and any amendments thereto, that are filed on Form BD-N (17 CFR 249.501b) pursuant to this section will 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.
[66 FR 45146, Aug. 27, 2001]

## Nearby sections

- [17 CFR § 240.12b-2 § 240.12b-2 Definitions.](https://www.frixlaw.com/law-library/statutes/ecfr-17-240.12b-2.md)
- [17 CFR § 240.12b-4 § 240.12b-4 Supplemental information.](https://www.frixlaw.com/law-library/statutes/ecfr-17-240.12b-4.md)
- [17 CFR § 240.12b-5 § 240.12b-5 Determination of affiliates of banks.](https://www.frixlaw.com/law-library/statutes/ecfr-17-240.12b-5.md)
- [17 CFR § 240.12b-6 § 240.12b-6 When securities are deemed to be registered.](https://www.frixlaw.com/law-library/statutes/ecfr-17-240.12b-6.md)
- [17 CFR § 240.12b-11 § 240.12b-11 Number of copies; signatures; binding.](https://www.frixlaw.com/law-library/statutes/ecfr-17-240.12b-11.md)
- [17 CFR § 240.12b-12 § 240.12b-12 Requirements as to paper, printing and language.](https://www.frixlaw.com/law-library/statutes/ecfr-17-240.12b-12.md)
- [17 CFR § 240.12b-14 § 240.12b-14 Riders; inserts.](https://www.frixlaw.com/law-library/statutes/ecfr-17-240.12b-14.md)
- [17 CFR § 240.12b-20 § 240.12b-20 Additional information.](https://www.frixlaw.com/law-library/statutes/ecfr-17-240.12b-20.md)
- [17 CFR § 240.12b-22 § 240.12b-22 Disclaimer of control.](https://www.frixlaw.com/law-library/statutes/ecfr-17-240.12b-22.md)
- [17 CFR § 240.12b-23 § 240.12b-23 Incorporation by reference.](https://www.frixlaw.com/law-library/statutes/ecfr-17-240.12b-23.md)
- [17 CFR § 240.12b-30 § 240.12b-30 Additional exhibits.](https://www.frixlaw.com/law-library/statutes/ecfr-17-240.12b-30.md)
- [17 CFR § 240.12b-33 § 240.12b-33 Annual reports to other Federal agencies.](https://www.frixlaw.com/law-library/statutes/ecfr-17-240.12b-33.md)
- [17 CFR § 240.12b-36 § 240.12b-36 Use of financial statements filed under other acts.](https://www.frixlaw.com/law-library/statutes/ecfr-17-240.12b-36.md)
- [17 CFR § 240.12d1-1 § 240.12d1-1 Registration effective as to class or series.](https://www.frixlaw.com/law-library/statutes/ecfr-17-240.12d1-1.md)

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Source: Frix Law Library, https://www.frixlaw.com/law-library/statutes/ecfr-17-240.15b11-1. Check the current official text before relying on it. Not legal advice.