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BROKER PREMISES VISIT SECTION I ENTRY SPECIALIST PREPARATION CHECKLISTContact broker and set up a date and time for visit (arrange for license or permit qualifier to be present). Obtain through data

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What is broker premises visit?

A broker premises visit is a visit to the physical location of a broker to ensure compliance with regulations and standards.

Who is required to file broker premises visit?

Brokers and brokerage firms are required to file broker premises visit.

How to fill out broker premises visit?

Broker premises visit can be filled out by providing detailed information about the physical location, security measures, and operations of the broker.

What is the purpose of broker premises visit?

The purpose of broker premises visit is to ensure transparency, compliance, and adherence to regulations within the brokerage industry.

What information must be reported on broker premises visit?

Information such as physical address, security measures, operational procedures, and employee credentials must be reported on broker premises visit.

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