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Washington Form BDW - Uniform Request for Broker-Dealer Withdrawal

Washington Form BDW - Uniform Request for Broker-Dealer Withdrawal

Name: Washington Form BDW - Uniform Request for Broker-Dealer Withdrawal
Brand: US Legal Forms
Price: 59.00 USD
Rating: 4.76 (228 reviews)

Category:

Washington Secretary of State - Blue Sky - Securities

State:

Washington

Control #:

WA-SKU-1522

Format:

Instant download

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Description

Form BDW - Uniform Request for Broker-Dealer Withdrawal Washington Form BDW — Uniform Request for Broker-Dealer Withdrawal is a form used by broker-dealers to request withdrawal of their registration with the Washington State Department of Financial Institutions (DFI). The form is used to formally notify the DFI that the broker-dealer wishes to withdraw from the State of Washington. There are two types of Washington Form BDW — Uniform Request for Broker-Dealer Withdrawal: (1) Complete Withdrawal and (2) Limited Withdrawal. The Complete Withdrawal form is used when the broker-dealer wishes to withdraw from all activities in the state of Washington. The Limited Withdrawal form is used when the broker-dealer wishes to withdraw from only certain activities in the state of Washington, such as securities sales. The form requires the broker-dealer to provide the DFI with details regarding the business activities they wish to terminate and the reasons for the withdrawal.

Washington Form BDW — Uniform Request for Broker-Dealer Withdrawal is a form used by broker-dealers to request withdrawal of their registration with the Washington State Department of Financial Institutions (DFI). The form is used to formally notify the DFI that the broker-dealer wishes to withdraw from the State of Washington. There are two types of Washington Form BDW — Uniform Request for Broker-Dealer Withdrawal: (1) Complete Withdrawal and (2) Limited Withdrawal. The Complete Withdrawal form is used when the broker-dealer wishes to withdraw from all activities in the state of Washington. The Limited Withdrawal form is used when the broker-dealer wishes to withdraw from only certain activities in the state of Washington, such as securities sales. The form requires the broker-dealer to provide the DFI with details regarding the business activities they wish to terminate and the reasons for the withdrawal.

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How to fill out Washington Form BDW - Uniform Request For Broker-Dealer Withdrawal?

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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.

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

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.

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

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.

The Commission has also adopted amendments that require a broker-dealer that clears transactions or carries customer accounts to agree to allow representatives of the Commission or the broker-dealer's designated examining authority (?DEA?) to review the documentation associated with certain reports of the broker-

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.

More info

Form BDW Uniform Request For Broker Dealer Registration (SEC1500) Form. A form which securities broker-dealers must submit to the Securities and Exchange Commission (SEC), to terminate status as a registered broker.Notice-registered broker-dealers requesting to withdraw registration with the Commission file a completed Form BDW with the NFA. Noticeregistered brokerdealers requesting to withdraw registration with the Commission file a completed Form BDW with the NFA. 501a Form BDW, notice of withdrawal from registration as broker-dealer pursuant to § 240. 2 17 CFR 249.501a. "Form BDW" means Uniform Request for Broker-Dealer Withdrawal. "Form ADV-W" means Notice of Withdrawal from Registration as Investment Adviser. "Form BD" means Uniform Application for Broker-Dealer Registration. Below is a list of forms available from the Securities Division.

Washington Form BDW - Uniform Request for Broker-Dealer Withdrawal

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How to fill out Washington Form BDW - Uniform Request For Broker-Dealer Withdrawal?

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What is included on form BD?

What is package initial disclosure BD?

What is a BDW?

What is a form BDW?

What is a form BD in finance?

What is a broker-dealer DEA?

Who must a broker-dealer file Form BD with?

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