Form 9-M Files Dataset

Form 9-M is an irrevocable appointment of agent for service of process filed by non-resident broker-dealer partnerships pursuant to Section 15 of the Securities Exchange Act of 1934. It designates the SEC as the agent upon whom may be served all process, pleadings, and other papers in any civil suit or action brought in a place subject to United States jurisdiction. The dataset includes all Form 9-M filings submitted to EDGAR from February 2003 to present. For each accession number, a metadata file and all documents in the original EDGAR submission are included except image files. Each filing typically contains the names and addresses of the partnership and its partners, the irrevocable designation of the SEC as agent for service of process, and a statement that the appointment remains in effect from the date broker-dealer registration becomes effective until cancellation, revocation, or withdrawal of such registration.

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