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Form X17A5 FOCUS Report Part II Cover Page20230425 04:57PM EDT Status: AcceptedUNITED STATES SECURITIES AND EXCHANGE COMMISSION FOCUS REPORT (FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT) Part

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How to fill out broker-dealer registered as an

01

Determine the type of broker-dealer registration you need based on your business activities.

02

Complete Form BD with the required information about your firm, ownership, control persons, and business activities.

03

Submit Form BD and any required fees to the Securities and Exchange Commission (SEC) or the Financial Industry Regulatory Authority (FINRA).

04

Once your application is approved, ensure you comply with all ongoing regulatory requirements for broker-dealers.

Who needs broker-dealer registered as an?

01

Individuals or firms who wish to engage in buying and selling securities on behalf of others, providing investment advice, or operating a trading platform for securities transactions.

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What is broker-dealer registered as an?

A broker-dealer is registered as a firm or individual that is legally authorized to buy and sell securities on behalf of clients or for its own account.

Who is required to file broker-dealer registered as an?

Entities and individuals who engage in the business of buying and selling securities and wish to operate legally in the United States are required to file as a broker-dealer.

How to fill out broker-dealer registered as an?

To fill out the broker-dealer registration, applicants must complete Form BD through the Financial Industry Regulatory Authority (FINRA) and submit it along with required documentation and fees.

What is the purpose of broker-dealer registered as an?

The purpose of registering as a broker-dealer is to ensure compliance with regulatory requirements, protect investors, and facilitate fair and efficient securities markets.

What information must be reported on broker-dealer registered as an?

Broker-dealers must report information such as business structure, ownership, financial condition, and regulatory history on their registration forms.

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