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1. Initial FR form (1S) Rev. 06118STATE OF CONNECTICUT DEPARTMENT OF CONSUMER PROTECTION Email registration questions to: DCP.public charities ct. Gestate OF CONNECTICUT FULL REQUIREMENT INITIAL CHARITY
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Initial FR Form 1-S is a form that must be filled out to register with the Financial Industry Regulatory Authority (FINRA) as a new broker-dealer.
Any entity seeking to become a broker-dealer in the United States is required to file the initial FR Form 1-S.
The initial FR Form 1-S can be filled out online through FINRA's registration system by providing all the required information about the broker-dealer.
The purpose of the initial FR Form 1-S is to collect information about the new broker-dealer and its key personnel to assess their qualifications and ensure compliance with regulatory requirements.
The initial FR Form 1-S requires information about the broker-dealer's business activities, ownership, regulatory history, and key personnel, among other details.
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