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// DEPLOYED LOGIC DEALER OF RECORD PROGRAM // DEALER OF RECORD (FOR) SUMMARY The FOR program is designed to reward those dealers who are actively pursuing business opportunities within our industry
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Anyone who intends to operate as a dealer or intermediary for regulated products or services may need to fill out a dealer of record (DOR) form. This may include individuals or businesses involved in the sale, distribution, or handling of certain goods or services that require regulatory oversight. It is advised to consult the specific regulations and guidelines related to the particular industry or sector to determine if a DOR form is necessary.
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Dealer of record (DOR) is a term used in the financial industry to refer to the party responsible for executing a securities transaction on behalf of a client.
Investment banks, broker-dealers, and other financial institutions are required to file dealer of record (DOR) information.
Dealer of record (DOR) information can typically be filled out electronically through the appropriate regulatory agency's website or platform.
The purpose of dealer of record (DOR) is to ensure transparency and accountability in securities transactions by identifying the party responsible for executing the transaction.
Dealer of record (DOR) information typically includes the name of the executing party, the date of the transaction, the security involved, and any related fees.
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