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South Dakota Uniform Request for Broker-Dealer Withdrawal (BDW)

South Dakota Uniform Request for Broker-Dealer Withdrawal (BDW)

Name: South Dakota Uniform Request for Broker-Dealer Withdrawal (BDW)
Brand: US Legal Forms
Price: 59.00 USD
Rating: 4.86 (282 reviews)

Category:

South Dakota Secretary of State - Blue Sky - Securities

State:

South Dakota

Control #:

SD-SKU-0129

Format:

Instant download

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Description

Uniform Request for Broker-Dealer Withdrawal (BDW) The South Dakota Uniform Request for Broker-Dealer Withdrawal (BDW) is a form used to request the withdrawal of a broker-dealer from the South Dakota Division of Securities. Bows are typically used when a broker-dealer is looking to terminate their registration with the Division. There are three types of South Dakota Uniform Requests for Broker-Dealer Withdrawal: Voluntary Withdrawal, Non-Renewal, and Termination. A Voluntary Withdrawal is when the broker-dealer requests to terminate their registration with the Division after having been previously registered. A Non-Renewal is when the broker-dealer has allowed their registration to lapse and is requesting to reinstate their registration with the Division. A Termination is when the broker-dealer is requesting to terminate their registration with the Division after having been previously registered. The South Dakota Uniform Request for Broker-Dealer Withdrawal (BDW) must be completed and submitted along with any other required documents and fees in order for the withdrawal to be processed.

The South Dakota Uniform Request for Broker-Dealer Withdrawal (BDW) is a form used to request the withdrawal of a broker-dealer from the South Dakota Division of Securities. Bows are typically used when a broker-dealer is looking to terminate their registration with the Division. There are three types of South Dakota Uniform Requests for Broker-Dealer Withdrawal: Voluntary Withdrawal, Non-Renewal, and Termination. A Voluntary Withdrawal is when the broker-dealer requests to terminate their registration with the Division after having been previously registered. A Non-Renewal is when the broker-dealer has allowed their registration to lapse and is requesting to reinstate their registration with the Division. A Termination is when the broker-dealer is requesting to terminate their registration with the Division after having been previously registered. The South Dakota Uniform Request for Broker-Dealer Withdrawal (BDW) must be completed and submitted along with any other required documents and fees in order for the withdrawal to be processed.

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How to fill out South Dakota Uniform Request For Broker-Dealer Withdrawal (BDW)?

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FAQ

Form BD is the Uniform Application for Broker-Dealer Registration. Broker-Dealers must file this form to register with the Securities and Exchange Commission, the self-regulatory organizations, and jurisdictions through the Central Registration Depository (?CRD?) system, operated by FINRA.

Submit Form U5 to terminate registration for individuals registered with the firm. All Form U5s must be submitted within 60 calendar days from the BDW filing date. The Designated Custodian for terminating firms must send the completed Custodian Consent Form as a scanned email attachment to BDW@finra.org.

A variable-length block consists of a block descriptor word (BDW) followed by one or more logical records or record segments. The block descriptor word is a 4-byte field that describes the block.

SEC Form BD (the "Uniform Application for Broker-Dealer Registration") requires that the applying company disclose background information, including management policies that direct the firm, the names of executives and general partners, successor information, and any current legal proceedings or previous securities

The Form also is used by applicants to register as broker- dealers with certain self-regulatory organizations and all of the states. The Commission and the Financial Industry Regulatory Authority, Inc. maintain the files of the information on this Form and will make the information publicly available.

dealer must comply with relevant state law as well as federal law and applicable SRO rules.

Firms are able to file full or partial withdrawals of registration by submitting Form BDW, the Uniform Request for Broker-Dealer Withdrawal.

The Form BD is the Uniform Application for Broker-Dealer registration with the SEC, SROs and jurisdictions. It provides background information on the applicant and the nature of its business. It includes lists of the executive officers and general partners of the company.

More info

Uniform Request for. A form which securities broker-dealers must submit to the Securities and Exchange Commission (SEC), to terminate status as a registered broker.Form BDW Uniform Request For Broker Dealer Registration (SEC1500) Form. Fully registered broker-dealers requesting to withdrawal registration with the Commission currently file Form BDW with the FINRA electronically through Web CRD. Fully registered broker-dealers requesting to withdrawal registration with the Commission currently file Form BDW with the FINRA electronically through Web CRD. Form BDW (Uniform Request for Broker-dealer Withdrawal). Use Form BDW to withdraw your firm's registration federally or with a particular state. Read Section A-1. Form BDW is the Uniform Request for Withdrawal from Registration as a Broker-Dealer. Notices of termination shall be filed on the Form BDW, Uniform Request for Broker-Dealer Withdrawal.

South Dakota Uniform Request for Broker-Dealer Withdrawal (BDW)

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