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Roger Dealer and Custodian Cane ORM (continued) 3 of 3 DCG-RET-BDCC-AUG16 If sections 8 10 are completed, this form must be mailed to: (Note: faxes are not accepted ...

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What is broker dealer and custodian?

Broker dealer is a financial firm that is in the business of buying and selling securities on behalf of its clients. Custodian is a financial institution that holds and safeguards assets on behalf of clients.

Who is required to file broker dealer and custodian?

Broker dealers and custodians are required to file reports with regulatory authorities.

How to fill out broker dealer and custodian?

The reports for broker dealers and custodians usually require information about their financial condition, activities, and compliance with regulations.

What is the purpose of broker dealer and custodian?

The purpose of broker dealer is to facilitate the buying and selling of securities, while the purpose of custodian is to protect and safeguard assets.

What information must be reported on broker dealer and custodian?

Information such as financial statements, regulatory compliance, and details of client transactions must be reported for broker dealers and custodians.

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