Get the free NYS Supplemental Broker Dealer Statement M-3 - New York ... - ag ny

N.Y. Form M-3 (Rev. 1/14) File No. (Found on fee receipt for original filing.) STATE OF NEW YORK DEPARTMENT OF LAW REAL ESTATE FINANCE BUREAU SUPPLEMENTAL BROKER DEALER STATEMENT Firm Name Principal

How to fill out nys supplemental broker dealer

How to fill out NYS supplemental broker dealer:

1. Gather necessary information: Start by collecting all the required information, such as the name of the broker dealer, contact details, registration information, and any supporting documents or disclosures.
2. Review the instructions: Before you start filling out the NYS supplemental broker dealer form, carefully read through the instructions provided by the New York State Department of Financial Services (DFS). It's essential to understand the specific requirements and guidelines for completion.
3. Provide general information: Begin by entering the general information about the broker dealer, including its name, address, phone number, and email address. Ensure accuracy and double-check for any errors.
4. Disclose ownership details: Next, you will need to disclose ownership details. This may include identifying information (name, Social Security number, address) for all individuals or entities that have ownership or control of the broker dealer. If there are multiple owners, provide this information for each one.
5. Report any changes or incidents: In this section, you may need to disclose any changes or incidents that have occurred since your last filing. This could include changes in ownership, legal actions, regulatory violations, or any other relevant information. Be thorough and include all necessary details.
6. Provide financial information: Some versions of the NYS supplemental broker dealer form require financial information to be reported. This may involve disclosing balance sheets, income statements, cash flow statements, or other financial documents. Make sure to accurately fill out this section and attach any required supporting documentation.
7. Review and sign: Before submitting the form, carefully review all the information you have provided. Double-check for any errors or omissions. Once satisfied, sign and date the form as required. Keep a copy for your records.

Who needs NYS supplemental broker dealer?

The NYS supplemental broker dealer is required for individuals or entities that are engaged in broker-dealer activities in the state of New York. This includes businesses and individuals who buy, sell, or offer securities for sale, as well as those involved in investment advisory services.

The NYS supplemental broker dealer form provides the New York State Department of Financial Services with necessary information about the broker dealer's ownership, financial condition, and any changes or incidents that have occurred since the last filing. This helps the DFS regulate and supervise broker-dealer activities in the state.

It's important to note that the specific requirements and obligations for filing the NYS supplemental broker dealer form may vary depending on factors such as the size of the broker dealer or the types of securities involved. Failing to comply with these requirements can result in penalties or other legal consequences. Therefore, it is essential to understand whether you or your organization falls under the category that requires filing the NYS supplemental broker dealer form and to complete it accurately and timely.

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What is nys supplemental broker dealer?

NYS Supplemental Broker Dealer is a filing that collects additional information about broker dealers operating in the state of New York.

Who is required to file nys supplemental broker dealer?

Broker dealers registered with the state of New York are required to file NYS Supplemental Broker Dealer.

How to fill out nys supplemental broker dealer?

NYS Supplemental Broker Dealer can be filled out online through the New York State Department of Financial Services website.

What is the purpose of nys supplemental broker dealer?

The purpose of NYS Supplemental Broker Dealer is to provide regulators with additional information about broker dealers operating in New York for regulatory purposes.

What information must be reported on nys supplemental broker dealer?

Information such as business activities, financial statements, ownership details, and compliance information must be reported on NYS Supplemental Broker Dealer.