§ 249.501 Form BD, for application for registration as a broker and dealer or to amend or supplement such an application
§ 249.501a Form BDW, notice of withdrawal from registration as broker-dealer pursuant to § 240.15b6-1, § 240.15Bc3-1, or § 240.15Cc1-1 of this chapter
§ 249.501b Form BD-N for notice registration as a broker-dealer
§ 249.507 Form 7-M, consent to service of process by an individual nonresident broker-dealer
§ 249.508 Form 8-M, consent to service of process by a corporation which is a nonresident broker-dealer
§ 249.509 Form 9-M, consent to service of process by a partnership nonresident broker-dealer
§ 249.510 Form 10-M, consent to service of process by a nonresident general partner of a broker-dealer firm
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Terms Used In CFR > Title 17 > Chapter II > Part 249 > Subpart F - Forms for Registration of Brokers and Dealers Transacting Business On Over-the-Counter Markets

  • Litigation: A case, controversy, or lawsuit. Participants (plaintiffs and defendants) in lawsuits are called litigants.
  • Partnership: A voluntary contract between two or more persons to pool some or all of their assets into a business, with the agreement that there will be a proportional sharing of profits and losses.