Form BD
E123937
Form BD is the uniform application form that broker-dealers use to register with and provide key disclosure information to the U.S. Securities and Exchange Commission and self-regulatory organizations.
All labels observed (2)
| Label | Occurrences |
|---|---|
| Form BD canonical | 3 |
| Form BD instructions | 1 |
How this entity was disambiguated
This entity first appeared as the object of triple T1064498 — resolving that mention is where its identity was fixed. The disambiguator weighed these candidate entities and picked the highlighted one (or “None”, minting a new entity). This is how homonymy is resolved: the same surface form can point to different entities.
NED1
Entity disambiguation (via context triple)
gpt-5-mini-2025-08-07
Target entity: Form BD Context triple: [Central Registration Depository, dataModelIncludes, Form BD]
-
A.
Form D
Form D is a notice filing with the U.S. Securities and Exchange Commission that companies use to report certain exempt securities offerings, typically under Regulation D.
-
B.
BdM
BdM is the central bank of Mexico, responsible for maintaining the country’s monetary stability and issuing its currency.
-
C.
BSA E-Filing System
The BSA E-Filing System is an online platform used by financial institutions and other obligated entities in the United States to electronically submit Bank Secrecy Act reports and related regulatory filings.
-
D.
BIE
BIE is a U.S. federal agency within the Department of the Interior responsible for providing and overseeing education services for Native American students in schools on or near reservations.
-
E.
.bd
.bd is the country code top-level domain (ccTLD) assigned to Bangladesh for use in internet addresses.
- F. None of above. chosen
- G. Unsure - the case is ambiguous/there is not enough information to decide.
NED2
Entity disambiguation (via description)
gpt-5-mini-2025-08-07
Target entity: Form BD Target entity description: Form BD is the uniform application form that broker-dealers use to register with and provide key disclosure information to the U.S. Securities and Exchange Commission and self-regulatory organizations.
-
A.
Form D
Form D is a notice filing with the U.S. Securities and Exchange Commission that companies use to report certain exempt securities offerings, typically under Regulation D.
-
B.
BdM
BdM is the central bank of Mexico, responsible for maintaining the country’s monetary stability and issuing its currency.
-
C.
BSA E-Filing System
The BSA E-Filing System is an online platform used by financial institutions and other obligated entities in the United States to electronically submit Bank Secrecy Act reports and related regulatory filings.
-
D.
BIE
BIE is a U.S. federal agency within the Department of the Interior responsible for providing and overseeing education services for Native American students in schools on or near reservations.
-
E.
.bd
.bd is the country code top-level domain (ccTLD) assigned to Bangladesh for use in internet addresses.
- F. None of above. chosen
Statements (48)
| Predicate | Object |
|---|---|
| instanceOf |
U.S. securities regulation document
ⓘ
regulatory filing ⓘ uniform application form ⓘ |
| abbreviationOf | Broker-Dealer Uniform Application ⓘ |
| administeredBy |
SEC Division of Trading and Markets
ⓘ
linked to:
Division of Trading and Markets of the SEC
|
| applicantType | firm ⓘ |
| appliesTo |
domestic broker-dealers
ⓘ
foreign broker-dealers registering in the U.S. ⓘ |
| containsSection |
business lines
ⓘ
control affiliates ⓘ disciplinary history ⓘ identifying information ⓘ ownership and control ⓘ registration with self-regulatory organizations ⓘ statutory disqualification disclosures ⓘ types of business ⓘ |
| dataRepository |
FINRA CRD system
ⓘ
linked to:
FINRA CRD
|
| filedThrough | Central Registration Depository ⓘ |
| filingType |
amendment
ⓘ
initial registration ⓘ successor registration ⓘ |
| governsActivity | broker-dealer business ⓘ |
| includesCertification | truthfulness of information provided ⓘ |
| jurisdiction |
United States
ⓘ
linked to:
United States of America
|
| language | English ⓘ |
| legalBasis |
SEC Rule 15b1-1
ⓘ
Section 15 of the Securities Exchange Act of 1934 ⓘ |
| notFor | individual registered representatives ⓘ |
| purpose |
investor protection through disclosure
ⓘ
regulatory oversight of broker-dealers ⓘ |
| regulator |
Financial Industry Regulatory Authority
ⓘ
U.S. Securities and Exchange Commission ⓘ
linked to:
Securities and Exchange Commission
self-regulatory organizations ⓘ |
| relatedForm |
Form BDW
ⓘ
Form BR ⓘ Form U4 ⓘ |
| requiredBy |
Securities Exchange Act of 1934
ⓘ
linked to:
U.S. Securities Exchange Act of 1934
|
| requiresDisclosureOf |
arbitration and customer complaints
ⓘ
civil judicial actions ⓘ criminal history ⓘ regulatory actions ⓘ |
| requiresSignatureOf | authorized officer of the broker-dealer ⓘ |
| scope |
federal broker-dealer registration
ⓘ
membership in FINRA and other SROs ⓘ |
| submissionFormat | electronic ⓘ |
| usedBy | broker-dealers ⓘ |
| usedFor |
broker-dealer registration
ⓘ
providing disclosure information ⓘ |
How these facts were elicited
The pipeline generated the facts above by prompting gpt-5.1 with this entity's name + description and the instruction below.
Instruction
You are a knowledge base construction expert. Given a subject entity and a description of it, return factual statements that you know for the subject as a JSON list of dictionaries(triples), where keys must be "subject", "predicate" and "object". The number of facts may be very high, between 25 to 50 or more, for very popular subjects. For less popular subjects, the number of facts can be very low, like 5 or 10. # Requirements - If you don't know the subject at all, return an empty list. - If the subject is not a named entity, return an empty list. - Include at least one triple where predicate is "instanceOf". - Do not get too wordy. - Separate several objects into multiple triples with one object.
Input
Subject: Form BD Description of subject: Form BD is the uniform application form that broker-dealers use to register with and provide key disclosure information to the U.S. Securities and Exchange Commission and self-regulatory organizations.
Referenced by (4)
Full triples — surface form annotated when it differs from this entity's canonical label.
linked to: Form BD