Form BD (Form for Broker-Dealer) is a form that is filed with the Securities and Exchange Commission (SEC), FINRA and the state regulators by firms seeking to register as broker-dealers in the United States. The form contains information about the firm’s business operations, ownership, and financial condition, as well as information about the firm’s key personnel, including the firm’s principals and registered representatives. The form also includes a variety of disclosures and certifications related to the firm’s compliance with federal securities laws and regulations. The form must be signed by an authorized representative of the firm and must be accompanied by any required supporting documentation.
https://www.sec.gov/about/forms/formbd.pdf
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