US Legal Forms
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

This website is not affiliated with any governmental entity

Public form

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.

View Informed Consent

View this form

View Civil - Motion and Declaration for Waiver of Fees Qualified Legal Services Provider Filing

View this form

View Civil - Motion and Declaration for Waiver of Fees - Party Filing

View this form

View Civil - Order Regarding Waiver of Fees

View this form

View Notice of Appeal Cert of Filing

View this form

Sample Letter for Insufficient Funds

View this form

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

If you’re searching for a way to appropriately prepare the Washington Form BDW - Uniform Request for Broker-Dealer Withdrawal without hiring a lawyer, then you’re just in the right spot. US Legal Forms has proven itself as the most extensive and reliable library of official templates for every private and business situation. Every piece of documentation you find on our online service is designed in accordance with nationwide and state laws, so you can be sure that your documents are in order.

Follow these simple instructions on how to obtain the ready-to-use Washington Form BDW - Uniform Request for Broker-Dealer Withdrawal:

Make sure the document you see on the page meets your legal situation and state laws by checking its text description or looking through the Preview mode.
Enter the form name in the Search tab on the top of the page and choose your state from the list to find an alternative template if there are any inconsistencies.
Repeat with the content check and click Buy now when you are confident with the paperwork compliance with all the requirements.
Log in to your account and click Download. Create an account with the service and opt for the subscription plan if you still don’t have one.
Use your credit card or the PayPal option to purchase your US Legal Forms subscription. The blank will be available to download right after.
Choose in what format you want to get your Washington Form BDW - Uniform Request for Broker-Dealer Withdrawal and download it by clicking the appropriate button.
Import your template to an online editor to fill out and sign it quickly or print it out to prepare your hard copy manually.

Another wonderful thing about US Legal Forms is that you never lose the paperwork you acquired - you can find any of your downloaded blanks in the My Forms tab of your profile whenever you need it.

Form Rating

4.76

Satisfied(228)

Form popularity

FAQ

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

Description

Related forms

Viewed forms

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

Show more info

Form Rating

Form popularity

FAQ

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?

Is Form BD publicly available?

More info

Trusted and secure by over 3 million people of the world’s leading companies