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Registration Services Department 400 S. Basally Street Chicago, Illinois 60605 (312) 7867449 Phone (312) 7868140 Fax registration cboe.com SINGLE ENTITY BROKER DEALER JOINT ACCOUNT ACTIVATION/TERMINATION
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Begin by gathering all the necessary information and documentation required for the application process. This may include personal information, financial statements, business plans, and any relevant licenses or certifications.
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Provide a detailed description of your business activities and services offered. Clearly outline the types of securities you intend to trade, the markets you will operate in, and any affiliations or relationships with other financial entities.
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A single entity broker dealer is a financial firm that acts as both a broker (i.e., a seller) and a dealer (i.e., a buyer) in securities transactions.
Firms that meet the criteria of a broker-dealer must file a single entity broker-dealer report.
The single entity broker-dealer report can typically be filled out online through the appropriate regulatory agency's website.
The purpose of the single entity broker dealer report is to provide regulators with information about the financial activities of broker-dealer firms.
Information regarding the firm's financial activities, compliance with regulations, and any disciplinary actions must be reported on the single entity broker dealer report.
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Relevant keywords

2015 Illinois TPH DPM e-mailed registrationcboe LaSalle OCC Signatory applicable Acronym pre Admin Dept participant ACTIVATION TERMINATION holder ENTITY

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