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THOMAS J. VILLACH GOVERNOR SUSAN E. LOSS COMMISSIONER OF INSURANCE SALLY J. PETERSON LT. GOVERNOR BROKERDEALER REGISTRATION PACKET June 2006 RETURN DOCUMENTS TO: JOANN HERRMANN BD/AGENT REGISTRATION TO:

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How to fill out broker-dealer registration packet

01

Step 1: Gather all necessary documents and information, including proof of identification, financial statements, and disclosure statements.

02

Step 2: Complete the Form BD, which is the primary form for broker-dealer registration. Provide accurate and complete information, ensuring all questions are answered.

03

Step 3: Prepare and submit any additional required forms or schedules, such as Form U4 for each associated person.

04

Step 4: Pay the applicable registration fees.

05

Step 5: Review the entire packet for any errors or missing information. Make necessary corrections or additions.

06

Step 6: Submit the completed broker-dealer registration packet to the regulatory authority overseeing the jurisdiction where you wish to operate.

07

Step 7: Await confirmation and approval from the regulatory authority. Follow up as needed to address any requests for additional information or clarification.

Who needs broker-dealer registration packet?

01

Individuals or firms engaging in the business of buying or selling securities on behalf of themselves or others need a broker-dealer registration packet.

02

Broker-dealer registration is required by the regulatory authorities to ensure compliance with applicable laws and regulations, and to provide investor protection.

03

Entities involved in activities such as underwriting securities, market-making, or providing investment advice typically require broker-dealer registration.

04

Registered investment advisors who engage in brokerage activities or offer securities transactions to their clients may also need to complete a broker-dealer registration packet.

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What is broker-dealer registration packet?

The broker-dealer registration packet is a set of documents and forms that must be submitted to the relevant regulatory authorities in order to register as a broker-dealer.

Who is required to file broker-dealer registration packet?

Anyone who wants to operate as a broker-dealer and is subject to regulatory oversight is required to file a broker-dealer registration packet.

How to fill out broker-dealer registration packet?

The broker-dealer registration packet can be filled out online or through paper forms provided by the regulatory authorities. It is important to accurately provide all requested information.

What is the purpose of broker-dealer registration packet?

The purpose of the broker-dealer registration packet is to ensure that individuals and firms operating as broker-dealers comply with regulatory requirements and protect investors.

What information must be reported on broker-dealer registration packet?

The broker-dealer registration packet typically requires information about the firm's ownership, management structure, financial condition, business activities, and any disciplinary history.

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