Bd application registration 2025

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Form BD must first be submitted electronically and then a signed and notarized copy of the form must be sent to FINRA.
Successful Completion of a BD Transaction means the execution of a definitive agreement for the out-license of a Company-discovered compound which provides for total upfront and potential milestone payments and/or purchases of the Companys equity securities at or above market prices of at least $250 million in
Form BD is available on the Departments web site or FINRAs web site at .
FORM BD AND FILING FEE Checks should be made payable to Department of Financial Protection and Innovation and mailed with Form BD to Department of Financial Protection and Innovation, 2101 Arena Boulevard, Sacramento, CA 95834. Fees are not refundable except pursuant to Government Code Sections 13140-13144.
The FINRA broker-dealer (BD) registration process covers a firms full life cycle, from meeting initial membership standards to updating and renewing its registration.
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A. 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.
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.

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