Form REG-NR Files Dataset

Form REG-NR is a consent to service of process filed by non-resident brokers or dealers pursuant to Rule 15b1-5 under the Securities Exchange Act of 1934. Non-resident broker-dealers, and their non-resident general partners or managing agents, must submit this form to irrevocably appoint the SEC as agent for service of process in any civil action brought within the jurisdiction of the United States. The dataset includes all Form REG-NR and Form REG-NR/A filings submitted to EDGAR from April 2004 to present. Form REG-NR/A filings represent amendments to previously filed appointments. 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 designation of the SEC as agent for service of process, the name and address of the non-resident broker-dealer, the identity of any designated U.S. agent, and the irrevocable consent and power of attorney required under the applicable rule.

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