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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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Start by reading the broker-dealer questionnaire and affidavit carefully to understand the requirements and necessary information.
02
Collect all the relevant documents and information required to fill out the questionnaire and affidavit, such as identification documents, financial statements, and business records.
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Fill out the questionnaire accurately and provide complete information for each section. Ensure that all information provided is truthful and accurate.
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Pay attention to any specific instructions or additional documents that may be required to be attached or submitted along with the questionnaire and affidavit.
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Double-check all the information filled out in the questionnaire and affidavit to ensure accuracy and completeness.
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If unsure about any question or requirement, seek professional advice or clarification from the relevant authorities or legal experts.
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Once all the information is provided and the questionnaire and affidavit are completed, sign and date the documents as required.
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Submit the filled-out questionnaire and affidavit along with any additional required documents to the designated authority or entity, following the specified submission process.
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Keep a copy of the filled-out questionnaire and affidavit, as well as any supporting documents for future reference or audit purposes.

Who needs broker-dealer questionnaire and affidavit?

01
Any individual or entity that wishes to engage in broker-dealer activities or operate as a broker-dealer may be required to fill out a broker-dealer questionnaire and affidavit.
02
This may include individuals or companies seeking to offer brokerage services, investment advisory services, trading securities, or engaging in other related financial activities.
03
The specific requirements may vary based on jurisdiction and regulatory authorities, so it is important to consult the relevant regulations and laws applicable to your situation.
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The broker-dealer questionnaire and affidavit is a document that must be completed by certain financial institutions in order to comply with regulatory requirements.
Certain financial institutions such as broker-dealers are required to file the broker-dealer questionnaire and affidavit.
The broker-dealer questionnaire and affidavit should be carefully filled out following the instructions provided by the regulatory body.
The purpose of the broker-dealer questionnaire and affidavit is to gather information about the financial institution's operations and compliance with regulations.
Information about the financial institution's operations, compliance procedures, and key personnel must be reported on the broker-dealer questionnaire and affidavit.
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