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OMB APPROVAL OMB Number: 32350123 Expires March 31, 2016, Estimated average burden hours per response.....12.00 16012806 ANNUAL AUDITED REPORT FORM X17A5 PART III SEC FILE NUMBER 8 4 FACING PAGE Information

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How to fill out name of broker-dealer

How to fill out the name of broker-dealer:

01

Start by accessing the appropriate form or application to register as a broker-dealer.

02

Locate the section that requires the name of the broker-dealer and ensure you are using the correct field or space provided.

03

Enter the legal name of the broker-dealer entity. This should be the official name registered with the relevant regulatory bodies.

04

Double-check the accuracy of the name to avoid any potential issues in the registration process.

Who needs the name of broker-dealer:

01

Individuals or entities applying to become a registered broker-dealer with regulatory authorities need to provide the name of the broker-dealer. This is a critical requirement to be able to operate legally in the securities industry.

02

Existing broker-dealers may also need to update their name if they undergo changes in ownership, structure, or rebranding. This ensures their compliance with regulatory standards and provides accurate information to clients and investors.

03

Investors and clients of broker-dealers may also require the name of the broker-dealer for due diligence purposes, verifying the legitimacy and credibility of the firm they are dealing with.

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What is name of broker-dealer?

Broker-dealer name refers to the legal name under which a firm conducts business as a securities broker or dealer.

Who is required to file name of broker-dealer?

Broker-dealers are required to file their name with the appropriate regulatory bodies in the financial industry.

How to fill out name of broker-dealer?

The name of broker-dealer can be filled out on the relevant forms provided by the regulatory authorities or online platforms.

What is the purpose of name of broker-dealer?

The purpose of providing the name of broker-dealer is to ensure transparency and accountability in the securities industry.

What information must be reported on name of broker-dealer?

The information reported on the name of broker-dealer typically includes the legal name of the firm, any DBAs, and contact information.

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