General Rules and Regulations
promulgated
under the
Securities Exchange Act of 1934
Rule 15b1-1 -- Application for Registration of Brokers or Dealers
An application for registration of a broker or dealer
that is filed pursuant to section 15(b) of
the Act shall be filed on Form BD in accordance with the instructions to the form.
A broker or dealer that is an OTC derivatives dealer shall indicate where appropriate
on Form BD that the type of business in which it is engaged is that of acting
as an OTC derivatives dealer.
Every application for registration of a broker or dealer
that is filed on or after January 25, 1993, shall be filed with the Central Registration
Depository operated by the National Association of Securities Dealers, Inc.
An application for registration that is filed with the
Central Registration Depository pursuant to this section shall be considered a "report"
filed with the Commission for purposes of Sections 15(b), 17(a),
18(a), 32(a)
and other applicable provisions of the Act.
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