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STATE OF WASHINGTON DEPARTMENT OF FINANCIAL INSTITUTIONS SECURITIES DIVISION1 2 3 4IN THE MATTER OF DETERMINING whether there has been a violation of the Securities Act of Washington by:Order Number

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Provide all required information including personal details of key personnel, financial statements, business plan, and compliance procedures.

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Once approved, ensure ongoing compliance with regulatory requirements by maintaining accurate records and conducting regular audits.

Who needs broker-dealer and securities issuers?

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Companies looking to raise capital through the issuance of securities.

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Individuals or firms wanting to provide brokerage services for buying and selling securities.

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What is broker-dealer and securities issuers?

A broker-dealer is a person or firm that is in the business of buying and selling securities for its own account or on behalf of its customers. Securities issuers are companies or entities that offer securities (such as stocks and bonds) to the public, typically to raise capital.

Who is required to file broker-dealer and securities issuers?

Broker-dealers and securities issuers that are registered with the Securities and Exchange Commission (SEC) are required to file reports. This includes both large broker-dealers and issuers of public securities.

How to fill out broker-dealer and securities issuers?

Filling out broker-dealer and securities issuers forms typically involves providing detailed information about the entity, including financial statements, business structure, and disclosure of relevant risks. Specific forms such as Form BD for broker-dealers and Form S-1 for securities issuers must be completed in accordance with SEC guidelines.

What is the purpose of broker-dealer and securities issuers?

The purpose of broker-dealers is to facilitate the buying and selling of securities, often acting as intermediaries in trading. Securities issuers aim to raise capital by offering securities to investors, thereby providing funds for business operations or growth.

What information must be reported on broker-dealer and securities issuers?

Information that must be reported includes financial statements, organizational structure, business operations, material risks, and compliance with regulatory requirements. Additionally, broker-dealers must disclose transaction records and customer account information.

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