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APPLICANTS/BROKER DEALERS NAME:___ DATE: ___Firm T.I.N ___SEC FORM 28 BD/28BDA APPLICATION FOR REGISTRATION AS A BROKER DEALER AND AMENDMENTS THERETO NEW APPLICATION AMENDMENTS This amendment pertains
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How to fill out broker-dealer registration and reporting

01
Determine if you need to register as a broker-dealer with the Securities and Exchange Commission (SEC) or with a state securities regulator.
02
Complete Form BD through the SEC's Electronic Filing Depository (EDGAR) system or the state securities regulator's designated filing system.
03
Provide all required information about the firm, its owners, and its activities, including any disciplinary history.
04
Pay the required registration fees.
05
Maintain records and file reports as required by the SEC or state securities regulator.
06
Stay up to date on any changes to registration or reporting requirements.

Who needs broker-dealer registration and reporting?

01
Firms and individuals engaged in the business of buying or selling securities on behalf of clients need broker-dealer registration and reporting.
02
This includes firms that operate as market makers, underwriters, or otherwise participate in the securities markets.
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Broker-dealer registration and reporting is the process by which firms that buy and sell securities on behalf of clients must register with the appropriate regulatory authorities and report their activities.
Firms that engage in the business of buying and selling securities on behalf of clients are required to file broker-dealer registration and reporting.
Broker-dealer registration and reporting can be filled out online through the appropriate regulatory authority's website, with detailed information about the firm's activities and financials.
The purpose of broker-dealer registration and reporting is to provide transparency and accountability in the securities industry, ensuring that firms are operating within regulatory guidelines.
Information such as the firm's financials, key personnel, client assets under management, and compliance procedures must be reported on broker-dealer registration and reporting.
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