Series 26: Withdrawal Of Registration

Taken from our Series 26 Online Guide

Withdrawal of Registration

When a registered broker-dealer decides to go out of business, it must file a Form BDW to withdraw its registration with the SEC and the states with which it is a member. This form requires the broker-dealer to disclose the amount of any fund or securities it owes customers and whether it is the subject of any proceedings, unsatisfied judgments, liens, or customer claims. These disclosures help to ensure that a broker-dealer’s business is

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