Series 14: 7.2.1.8. Withdrawal Of Registration

Taken from our Series 14 Online Guide

7.2.1.8. 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 in which it is registered. 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 i

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