Form BDW Uniform Request For Broker Dealer Registration (SEC1500) {BDW} | Pdf Fpdf Doc Docx | Official Federal Forms

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Form BDW Uniform Request For Broker Dealer Registration (SEC1500) {BDW} | Pdf Fpdf Doc Docx | Official Federal Forms

Form BDW Uniform Request For Broker Dealer Registration (SEC1500) {BDW}

This is a Official Federal Forms form that can be used for Securities And Exchange Commission.

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Form BDW OMB Number: 3235-0018 Expires: October 31, 2017 Estimated average burden hours per response. . . . . . . . . . . . . 0.25 OMB APPROVAL Uniform Request for Broker-Dealer Withdrawal SEC 122(04-07) Persons who to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. American LegalNet, Inc. www.FormsWorkFlow.com FORM BDW INSTRUCTIONS A. GENERAL INSTRUCTIONS 1. Broker-Dealers must file Form BDW to withdraw their registration from the Securities and Exchange Commission ("SEC"), Self-Regulatory Organizations ("SROs"), and appropriate jurisdictions. These instructions apply to filing Form BDW electronically with the Central Registration Depository ("CRD"). Some jurisdictions may require a separate paper filing of Form BDW and/or additional filing requirements. Thus, the applicant should contact the appropriate jurisdictions(s) for specific filing requirements. 2. All questions must be answered and all fields requiring a response must be complete before the filing is accepted. If filing Form BDW on paper, enter "None" or "N/A" where appropriate. 3. File Form BDW with the CRD, operated by the NASD. Prior to filing Form BDW, amend Form BD to update any incomplete or inaccurate information. 4. A paper copy of this Form BDW (or a reproduction of this form printed off the CRD), the original manual signature(s), must be retained by the broker-dealer filing the Form BDW and be made available for inspection upon a regulatory request. A paper copy of the initial Form BD filing and amendments to Disclosure Reporting Pages (DRPs BD) also must be retained by the broker-dealer filing the Form BDW. B. FULL WITHDRAWAL (terminates registration with the SEC, all SROs, and all jurisdictions): 1. Complete all items except Item 3. 2. If Item 5 is answered "yes," file with the CRD a paper copy of FOCUS Report Part II (or Part IIA for non-carrying or nonclearing firms) "Statement of Financial Condition" and "Computation of Net Capital" sections. For firms that do not file FOCUS Reports, file a statement of financial condition giving the type and amount of the firm's assets and liabilities and net worth. This information must reflect the finances of the firm no earlier than 10 days before this Form BDW is filed. C. PARTIAL WITHDRAWAL (terminates registration with specific jurisdictions and SROs, but does not terminate registration with the SEC and at least one SRO and jurisdiction): 1. Complete all items. 2. Check with jurisdiction(s) where registered for additional filing requirements. The CRD mailing address for questions and correspondence is: NASAA/NASD Central Registration Depository P. O. Box 9495 Gaithersburg, MD 20898-9495 EXPLANATION OF TERMS (The following terms are italicized throughout this form.) The term JURISDICTION means a state, the District of Columbia, the Commonwealth of Puerto Rico, the U.S. Virgin Islands, or any subdivision or regulatory body thereof. The term INVESTIGATION includes: (a) grand jury investigations, (b) U.S. Securities and Exchange Commission investigations after the "Wells" notice has been given, (c) NASD Regulation, Inc. investigations after the "Wells" notice has been given or after a person associated with a member, as defined in The NASD By-Laws, has been advised by the staff that it intends to recommend formal disciplinary action or, (d) formal investigations by other SROs or, (e) actions or procedures designated as investigations by jurisdictions. The term investigation does not include subpoenas, preliminary or routine regulatory inquiries or requests for information, deficiency letters, "blue sheet" requests or other trading questionnaires, or examinations. The term INVESTMENT-RELATED pertains to securities, commodities, banking, insurance or real estate (including, but not limited to, acting as or being associated with a broker-dealer, municipal securities dealer, government securities broker or dealer, issuer, investment company, investment adviser, futures sponsor, bank, or savings association). Federal Information Law and Requirements ­ SEC's Collection of Information: An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid control number. Sections 15, 15C, 17(a) and 23(a) of the Securities Exchange Act of 1934 authorize the Commission to collect the information on this form from registrants. See 15 U.S.C. §§ 78o, 78o-5, 78q, and 78w. Filing of this Form is mandatory. The principal purpose of this Form is to permit the Commission to determine whether it is in the public interest to permit a broker-dealer to withdraw its registration. The Form also is used by broker-dealers to advise certain selfregulatory organizations and all of the states that they want to withdraw from registration. The Commission and the National Association of Securities Dealers, Inc. maintain files of the information on this Form and will make the information publicly available. Any member of the public may direct to the Commission any comments concerning the accuracy of the burden estimate on the application facing page of this Form, and any suggestions for clearance requirements of 44 U.S.C. §3507. The information contained in this form is part of a system of records subject to the Privacy Act of 1974, as amended. The Securities and Exchange Commission has published in the Federal Register the Privacy Act Systems of Records Notice for these records. Page 1 American LegalNet, Inc. www.FormsWorkFlow.com FORM BDW UNIFORM REQUEST FOR WITHDRAWAL FROM BROKER-DEALER REGISTRATION B. IRS Emp. Ident. No.: D. FIRM CRD NO.: F. FIRM MAIN ADDRESS: NUMBER AND STREET NUMBER AND STREET CITY STATE/COUNTRY OFFICIAL USE WARNING: INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACT MAY C ONSTITUTE CRIMINAL VIOLATIONS. 1. A. FULL NAME OF BROKER-DEALER (if sole proprietor, state last, first and middle name): C. NAME UNDER WHICH BUSINESS IS CONDUCTED, IF DIFFERENT: E. SEC FILE NO.: G. MAILING ADDRESS, IF DIFFERENT: ZIP+4/POSTAL CODE CITY H. AREA CODE / TELEPHONE NO.: 2. Check One: SRO SEC Full Withdrawal (skip item 3) Partial Withdrawal (Check box(es) where withdrawing in Item 3.) 3. SECURITIES AND EXCHANGE COMMISSION (check only if intending to conduct an intrastate business) ___________________________ AMEX BSE CBOE CHX Hawaii Idaho llinois Indiana Iowa Kansas Kentucky Louisiana Maine Maryland Massachusetts NSX N

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