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Appendix A CUSTOMER RELATIONSHIP FORM FOR CUSTOMERS OF TRADING ONLY SECURITIES BROKER WHICH MAINTAINS CUSTODY OF SECURITIES WITH PCM OR TRADING AND CLEARING SECURITIES Brokerage Logo Here! Place Logo

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How to fill out form custody for broker-dealers

01

Obtain the custody agreement from the broker-dealer.

02

Fill out the form with accurate and complete information.

03

Provide any required supporting documentation.

04

Review the form for accuracy and make any necessary corrections.

05

Submit the completed form to the appropriate regulatory authority.

Who needs form custody for broker-dealers?

01

Broker-dealers who hold customer assets or securities in custody need to fill out form custody to comply with regulatory requirements.

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What is form custody for broker-dealers?

Form Custody is a report that broker-dealers must file to provide information about their custody practices and compliance with regulations set by the Securities and Exchange Commission (SEC).

Who is required to file form custody for broker-dealers?

All broker-dealers registered with the SEC are required to file form custody.

How to fill out form custody for broker-dealers?

Form Custody can be filled out online through the SEC's Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system.

What is the purpose of form custody for broker-dealers?

The purpose of form custody is to ensure that broker-dealers are properly handling client assets and complying with regulations to protect investors.

What information must be reported on form custody for broker-dealers?

Broker-dealers must report information about their custody practices, including details about how client assets are held and maintained.

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