# 17 CFR § 240.15b3-1: Amendments to application

> Federal · Regulations · In force

URL: https://www.frixlaw.com/law-library/statutes/ecfr-17-240.15b3-1

## Section

- **Citation:** 17 CFR § 240.15b3-1
- **Heading:** Amendments to application
- **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) 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 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-17-240.15b3-1. Check the current official text before relying on it. Not legal advice.