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STATE OF CALIFORNIA DEPARTMENT OF BUSINESS OVERSIGHT DBO260.211.1 (Rev. 1113) APPLICATION BY NOTIFICATION FOR BROKER DEALER CERTIFICATE Mail to: State of California Department of Business Oversight
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The application for broker-dealer certificate is a legal document that must be filed with the appropriate regulatory authority to obtain a license to operate as a broker-dealer in the financial industry.
Any individual or entity intending to engage in the business of buying and selling securities as a broker-dealer is required to file an application for a broker-dealer certificate.
The application for broker-dealer certificate typically requires the submission of various information and documents, such as personal identifying information, business details, financial statements, compliance history, and any other information required by the regulatory authority. The exact process and requirements may differ depending on the jurisdiction.
The purpose of the application for broker-dealer certificate is to ensure that individuals and entities operating in the financial industry as broker-dealers meet the necessary regulatory requirements and possess the knowledge, skills, and financial stability to protect the interests of investors and maintain the integrity of the capital markets.
The information required to be reported on the application for broker-dealer certificate typically includes personal information of the applicant, business entity details, financial statements, compliance history, details of any previous disciplinary actions, information about associated persons, and any other information requested by the regulatory authority.
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Relevant keywords

1974 1968 CALIFORNIA NYSE seq DBO260 brokerdealer 78a FINRA APPLICATIONB QR USC Arca BD delinquencies revocation Equalization disseminating AMEX disclosing heretofore representations regulatory applicable solicited Professions thereto Amended Amendments P

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