For as long as the exchange is registered plus six years. This form is used to apply for registration as a broker or dealer of securities, as a municipal securities broker or dealer, or as a government securities broker or dealer, and to amend any such registration. It provides background information on the applicant and the nature of its business. It includes lists of the executive officers and general partners of the applicant. 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.