Form BDCO Files Dataset

Form BDCO filings contain orders issued by the Securities and Exchange Commission cancelling the registration of brokers or dealers pursuant to Section 15(b) of the Securities Exchange Act of 1934. These orders formally terminate a firm's or individual's broker-dealer registration, typically after the registrant has ceased conducting business, failed to meet regulatory requirements, or been subject to enforcement action. The dataset includes all Form BDCO filings submitted to EDGAR from January 2002 through October 2003, the period during which this submission type was used on EDGAR. For each accession number, a metadata file and all documents in the original EDGAR submission are included except image files. Each filing typically contains an auto-generated paper document referencing the Commission order, the name and CIK of the affected broker-dealer, the associated file number, and the date the cancellation order was entered.

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