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BROKERDEALER QUESTIONNAIRE AND AFFIDAVIT: PRIOR SALES Firm CRD No.: Date:Full Name of BrokerDealer:SEC File No.: 8The undersigned certifies as follows: I have conducted a thorough review into the

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How to fill out broker-dealer questionnaire and affidavit

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Step 1: Read the instructions provided with the broker-dealer questionnaire and affidavit.

02

Step 2: Gather all the necessary documents and information required to fill out the questionnaire and affidavit.

03

Step 3: Start filling out the questionnaire by providing accurate and complete information.

04

Step 4: Follow the guidelines and instructions provided for each section of the questionnaire.

05

Step 5: Double-check all the information provided and make sure it is accurate and up-to-date.

06

Step 6: Sign and date the affidavit, certifying that all the information provided is true and accurate.

07

Step 7: Submit the completed broker-dealer questionnaire and affidavit to the relevant authority or organization.

Who needs broker-dealer questionnaire and affidavit?

01

Individuals or entities who wish to become a broker-dealer or engage in securities-related activities.

02

Broker-dealers who need to renew their registration or update their information.

03

Financial institutions and investment firms involved in securities transactions.

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What is broker-dealer questionnaire and affidavit?

The broker-dealer questionnaire and affidavit is a form that must be completed by individuals or entities seeking to become licensed as broker-dealers.

Who is required to file broker-dealer questionnaire and affidavit?

Individuals or entities seeking to become licensed as broker-dealers are required to file the broker-dealer questionnaire and affidavit.

How to fill out broker-dealer questionnaire and affidavit?

The broker-dealer questionnaire and affidavit must be completed accurately and truthfully, providing all required information and documentation as requested.

What is the purpose of broker-dealer questionnaire and affidavit?

The purpose of the broker-dealer questionnaire and affidavit is to gather important information about the individual or entity applying for a broker-dealer license.

What information must be reported on broker-dealer questionnaire and affidavit?

Information such as personal details, financial information, business activities, and any disciplinary history must be reported on the broker-dealer questionnaire and affidavit.

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