---
kind: "section"
citation: "17 C.F.R. § 400.5"
title: "17"
number: "400.5"
heading: "Amendments to application for registration and to notice of status as a government securities broker or dealer."
url: "https://uscodex.org/cfr/17/400.5"
---

# §400.5. Amendments to application for registration and to notice of status as a government securities broker or dealer.

- (a)
  - (1) If the information contained in any application for registration as a government securities broker or dealer (other than the statements required by [§ 240.15Ca2-2](/cfr/17/240.15Ca2-2.md) of this title) or in any amendment thereto, becomes inaccurate for any reason, the registered government securities broker or dealer shall file within 30 days thereafter an amendment on Form BD ([§ 249.501](/cfr/17/249.501.md) of this title) correcting such information, in accordance with the instructions provided therein.
  - (2) If the information contained in any notice of status as a government securities broker or dealer filed by a registered broker or dealer, or in any amendment thereto, becomes inaccurate for any reason, the registered broker or dealer shall file within 30 days an amendment on Form BD ([§ 249.501](/cfr/17/249.501.md) of this title) correcting such information, in accordance with the instructions provided therein.
- (b) If the information contained in any notice of status as a government securities broker or dealer filed by a financial institution, or any amendment thereto, becomes inaccurate for any reason, the financial institution shall file within 30 days an amendment on Form G-FIN ([§ 449.1](/cfr/17/449.1.md) of this chapter) correcting such information, in accordance with the instructions provided therein.
- (c) Every amendment filed pursuant to this section shall constitute a “report” within the meaning of sections 15, 15C and 32(a) of the Act (15 U.S.C. [78o](/usc/15/78o.md), [78o-5](/usc/15/78o-5.md), [78ff(a)](/usc/15/78ff.md?p=a)).

## Notes

### Amendments

[52 FR 27926, July 24, 1987, as amended at 60 FR 11026, Mar. 1, 1995]

### Authority

Authority: 15 U.S.C. 78 o -5.

### Source

Source: 52 FR 27926, July 24, 1987, unless otherwise noted.

### Amendments

[52 FR 27926, July 24, 1987, as amended at 60 FR 11026, Mar. 1, 1995]