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0 MB APPROVAL 32350123 0 MB NumberSTATESUNITEDAND EXCHANGE COMMISSION DC 20549SECURITIESExpiresWashingtonAprilEstimated Hoursaverageburden 12.00per responseSECANNUAL AUDITED FORM X1 PART1101982330
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Begin by entering the legal name of the broker dealer in the designated space. This should be the official name registered with the appropriate regulatory authority.
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If the broker dealer operates under a different trade name or doing business as (DBA) name, include this information in the appropriate field. This allows for better identification and differentiation from other entities.
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Who needs the name of broker dealer:

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Individuals or entities in the financial industry who are conducting business with or seeking information about the broker dealer may require their name for identification purposes.
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Regulatory bodies or government agencies overseeing the financial sector may request the name of broker dealers for compliance and monitoring purposes.
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Investors or clients working with the broker dealer may need to know their name to identify the entity they are conducting transactions with or seeking investment advice from.
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Name of broker dealer is the official name of the entity that acts as a middleman between buyers and sellers of securities or other financial instruments.
Broker dealers are required to file their official name with the appropriate regulatory authorities.
Broker dealers can fill out their name by submitting the necessary documentation and forms to the regulatory authorities.
The purpose of the name of broker dealer is to provide transparency and accountability in the financial markets.
The name of broker dealer must include the legal name of the entity, contact information, and any other relevant details required by regulatory authorities.
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