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(As filed with the Securities and Exchange Commission November 1, 2000) File No. 709681 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Amendment No. 2 on FORM U1/A APPLICATION OR DECLARATION
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Form U-1A, filed on 11/01/2000, is a form used for registration of municipal securities dealers.
Any municipal securities dealer is required to file Form U-1A.
Form U-1A should be filled out by providing all the required information accurately and submitting it to the appropriate regulatory authority.
The purpose of form U-1A is to register municipal securities dealers in order to ensure compliance with regulatory requirements.
Form U-1A requires information such as the dealer's name, address, contact information, disciplinary history, and any affiliations with other securities firms.
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