The document provided by the SEC is a new „Uniform Request for Withdrawal from Broker-Dealer Registration“ with the Central Registration Depository (CRD) so it is necessary to check with other bodies in case they require a different form. The form must be fully completed and even fields, which are not relevant should be marked with „N/A“. The original copy of the form with signatures must be kept safe and available upon request.
Full withdrawal and partial withdrawal differentiate from one another with point 3 (not necessary for full withdrawal).
Other Features
broker
registration
Date Published: 2023-08-17
Regulatory Framework: Securities Exchange Act of 1934
Regulatory Type: form
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ID 26532
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Registration statement / Annual report / Transition report (PDF)
ID 26528
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Annual report pursuant to Section 13 or 15(d) (PDF)
ID 26527
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General form for registration of securities pursuant to Section 12(b) or (g) (PDF)
ID 26519
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