Step 1 of 6: Identity
SEC Filings & Disclosure
Broker-dealers, advisers & fundsRecord the change-discovery date, compare the current Form BD to the changed facts, complete applicable items and DRPs, ownership/control, business and branch changes, determine whether Form CMA or other regulator routes are required, obtain firm approvals, pass CRD completeness checks, submit through CRD, and reconcile the channel-native receipt.
Basis: Broker-dealer registration
/sec/startSecurities Exchange Act of 1934; Regulations S-K, S-X, S-T; 17 CFR Parts 229, 232, 240, 249
6 steps, completed in order. Each step is validated against the schema before the next unlocks.
Step 1 of 6
ScreenSEC › SEC Workflows › Form BD amendmentstep 1
Complete the Identity fields. Each value is validated against the schema before the next step unlocks.
Broker-dealer firm (required)
entityIdSelect the broker-dealer whose Form BD has become inaccurate or incomplete.
Step 2 of 6
ScreenSEC › SEC Workflows › Form BD amendmentstep 2
Complete the Trigger fields. Each value is validated against the schema before the next step unlocks.
Date the firm learned of the change (required)
changeDiscoveryDateEnter date the firm learned of the change.
Change event and amendment deadline analysis ID (required)
amendmentTriggerArtifactIdEnter change event and amendment deadline analysis id.
Current filed Form BD snapshot artifact ID (required)
currentFormBdSnapshotArtifactIdEnter current filed form bd snapshot artifact id.
Step 3 of 6
ScreenSEC › SEC Workflows › Form BD amendmentstep 3
Complete the Content fields. Each value is validated against the schema before the next step unlocks.
Changed Form BD items and redline artifact ID (required)
changedItemsArtifactIdEnter changed form bd items and redline artifact id.
Applicable disclosure reporting pages artifact ID (required)
disclosureReportingPagesArtifactIdEnter applicable disclosure reporting pages artifact id.
Direct/indirect owners and control-person updates ID (required)
ownershipAndControlArtifactIdEnter direct/indirect owners and control-person updates id.
Business, jurisdictions, SROs, branches, and activities updates ID (required)
branchAndBusinessArtifactIdEnter business, jurisdictions, sros, branches, and activities updates id.
Step 4 of 6
ScreenSEC › SEC Workflows › Form BD amendmentstep 4
Complete the Routing fields. Each value is validated against the schema before the next step unlocks.
A Continuing Membership Application is required (required)
cmaRequiredEnter a continuing membership application is required.
Form CMA and other regulator-route determination ID (required)
cmaRequiredDecisionArtifactIdEnter form cma and other regulator-route determination id.
Linked Continuing Membership Application workflow IDoptional
cmaWorkflowIdEnter linked continuing membership application workflow id.
Step 5 of 6
ScreenSEC › SEC Workflows › Form BD amendmentstep 5
Complete the Governance fields. Each value is validated against the schema before the next step unlocks.
Registration/compliance approval artifact ID (required)
complianceApprovalArtifactIdEnter registration/compliance approval artifact id.
Authorized firm signature artifact ID (required)
authorizedSignatureArtifactIdEnter authorized firm signature artifact id.
Step 6 of 6
ScreenSEC › SEC Workflows › Form BD amendmentstep 6
Complete the Package fields. Each value is validated against the schema before the next step unlocks.
CRD completeness-check evidence artifact ID (required)
crdCompletenessCheckArtifactIdEnter crd completeness-check evidence artifact id.
Exact Form BD amendment filing copy artifact ID (required)
filingCopyArtifactIdEnter exact form bd amendment filing copy artifact id.
Continue with the next guide in this framework's table of contents.
Select the legally operative form version and filing type, calculate adviser/fund scope and deadlines, capture all applicable fund, strategy, exposure, liquidity, leverage, counterparty, risk, aggregation, look-through, estimate, and assumption data, obtain data-owner and CCO approvals, validate the confidential XML or portal payload, submit through PFRD, and reconcile its receipt.
Read guide Broker-dealers, advisers & fundsPrepare an initial or amended Investment Company Act exemptive application, preserve applicants, facts, legal standards, requested order, conditions, precedent, correspondence, verification, signatures, and exhibits; submit through EDGAR; distinguish EDGAR acceptance from a later Commission exemptive order.
Read guide Broker-dealers, advisers & fundsPrepare an initial, amendment, or cessation notice for a non-NMS ATS; gate NMS stock activity into Form ATS-N; capture broker-dealer registration, operations, access, fair-access, order-display, systems, surveillance, books, records, safeguards, exhibits, and signature evidence; and reconcile Commission receipt without representing the notice as Commission approval.
Read guide