Form BDW definition
Examples of Form BDW in a sentence
Prior to Closing, the Company shall cause the Broker-Dealer to (i) prepare and submit to the Municipal Securities Rulemaking Board an amendment to Form A-12 withdrawing the Broker-Dealer's municipal securities dealer registration and (ii) prepare and submit to FINRA a Form BDW and all Form U-5s for each of the Broker-Dealer’s registered representatives in order to formally withdraw the Broker-Dealer’s registration with FINRA, terminating its ability to operate as a broker-dealer.
Copies of (i) the Broker-Dealer’s Form BDW reflecting its submission through the FINRA Gateway, (ii) all of the Broker Dealer’s registered representative’s Form U5s reflecting their submission through the FINRA Gateway, and (iii) the Broker-Dealer’s Form A-12 reflecting its withdrawal through the Municipal Securities Rulemaking Board Gateway.
Buyer and Parent acknowledge and understand that BCM has submitted a Form BD-W to withdraw its broker-dealer registration, effective December 31, 2010, and will cease operations as a result of the transaction contemplated by this Agreement.
BCC hereby represents and warrants to BHC that a Form BDW withdrawing BCC as a registered broker-dealer has been filed with the National Association of Securities Dealers, Inc./Central Registration Depository and that no further action by any party, or consent or approval of the NASD, is required with respect to the transactions contemplated hereby under the applicable rules and regulations of the NASD.