BD Registration Process

Overview

This page provides information as to the process for broker-dealers to register with the SEC or, in the case of banks dealing in governments, with the appropriate banking regulator, as well as the process to become a member of, and maintain membership in, both FINRA and the MSRB.

See also the page on Municipal Advisor Registration Process.

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Statutes

SEC Rules and Forms

Treasury Rules and Forms under the GSA

FINRA and MSRB Rules