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FORM S 6 Securities Department 600 E Boulevard Ave Dept 414 Bismarck ND 58505 (701) 3282910 www.securities.nd.govISSUER DEALER RENEWAL APPLICATION NORTH DAKOTA SECURITIES DEPARTMENT SON 51532 (62021)NOTE:Registration
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Here are the steps to fill out an affidavit of brokerdealer activity:
02
Obtain the affidavit form from the appropriate regulatory authority or download it from their website.
03
Read the instructions carefully and gather all the required information and supporting documents.
04
Fill out the basic information section, including your name, address, and contact details.
05
Provide information about your broker-dealer activities, such as your registration number, license type, and the states where you operate.
06
Describe the nature of your business, including the types of securities you deal in and the services you offer.
07
Include any additional information or disclosures required by the regulatory authority.
08
Sign and date the affidavit.
09
Submit the completed affidavit along with any required supporting documents to the regulatory authority.

Who needs affidavit of brokerdealer activity?

01
The affidavit of brokerdealer activity is typically required by individuals or firms engaged in broker-dealer activities.
02
Specifically, it is required by those who are registered as broker-dealers with regulatory authorities and operate in the securities industry.
03
This includes individuals or firms involved in the buying and selling of securities, acting as intermediaries between buyers and sellers, providing investment advice, and other related activities.
04
The exact requirements may vary depending on the jurisdiction and regulatory authority overseeing the broker-dealer activities.
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Affidavit of brokerdealer activity is a document that provides information about the activities of a broker-dealer.
Broker-dealers are required to file affidavit of brokerdealer activity.
Affidavit of brokerdealer activity can be filled out by providing all the necessary information about the broker-dealer's activities as per the instructions provided.
The purpose of affidavit of brokerdealer activity is to ensure transparency and compliance with regulations in the broker-dealer industry.
Information such as transaction details, client information, and financial data must be reported on affidavit of brokerdealer activity.
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