It also contains information, among other things, on past securities violations. Filings are available on microfiche. No paper copy is maintained. For as long as the broker or dealer is registered plus fifty years. This form is used by a broker or dealer of securities, a municipal securities broker or dealer, or a government securities broker or dealer to apply for withdrawal from registration as such broker or dealer.
Filings are available on microfiche.
No paper copy is maintained. For as long as the broker or dealer is registered plus fifty years. This report is used by a bank or a separately identifiable department or division of a bank to apply for registration as a municipal securities dealer with the SEC, or to amend such registration. Filings are available on microfiche. No paper copy is maintained.