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AFFIDAVIT OF BROKER/DEALER ACTIVITY NORTH DAKOTA SECURITIES DEPARTMENT SON 53495 (82018)Securities Department 600 E Boulevard Ave Dept 414 Bismarck ND 58505 (701) 3282910 www.ndsecurities.comName
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How to fill out affidavit of brokerdealer activity
How to fill out affidavit of brokerdealer activity
01
Obtain the affidavit of brokerdealer activity form from the appropriate regulatory agency or organization.
02
Fill in your personal information such as name, address, and contact details.
03
Provide details about your brokerdealer activities including the types of securities you deal with, the markets you operate in, and any licenses or certifications you hold.
04
Sign and date the affidavit in the presence of a notary public or other authorized individual.
05
Submit the completed affidavit to the relevant regulatory agency or organization as required.
Who needs affidavit of brokerdealer activity?
01
Individuals or entities engaged in brokerdealer activities such as buying, selling, or trading securities.
02
Regulatory agencies or organizations overseeing brokerdealer activities and requiring documentation for compliance purposes.
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What is affidavit of brokerdealer activity?
Affidavit of brokerdealer activity is a document that provides information about the activities of a brokerdealer.
Who is required to file affidavit of brokerdealer activity?
Brokerdealers are required to file the affidavit of brokerdealer activity.
How to fill out affidavit of brokerdealer activity?
The affidavit of brokerdealer activity can be filled out by providing all the required information about the brokerdealer's activities.
What is the purpose of affidavit of brokerdealer activity?
The purpose of the affidavit of brokerdealer activity is to report on the activities of the brokerdealer to regulatory authorities.
What information must be reported on affidavit of brokerdealer activity?
The affidavit of brokerdealer activity must include information such as trades, client accounts, and compliance measures.
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