Series 14: 7.2.1.3.1. Form BD (“BD” = Broker-Dealer)

7.2.1.3.1. Form BD (“BD” = Broker-Dealer)

An application for registration (Form BD) must be filed with both FINRA and the SEC. The application identifies the type and nature of the applicant’s business and in what states it will operate. If other businesses provide services to the applicant or if the applicant will introduce customers to other broker-dealers, those businesses must be identified. On the form the applicant must disclose:

• Anyone having a control relationship with