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Oregon Department of Consumer and Business Services Division of Financial Regulation 350 Winter St. NE, Rm. 410, Salem, Oregon 973013881 Mailing address: P.O. Box 14480, Salem, OR 973090405 9716004291

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How to fill out non-finra broker-dealer renewal application

01

Obtain the non-FINRA broker-dealer renewal application form from the appropriate regulatory authority.

02

Review the application requirements and gather necessary documentation.

03

Fill out the application form with accurate and complete information about your brokerage firm.

04

Provide details of any changes since the last renewal, such as ownership or operational changes.

05

Include details of your compliance procedures and any disciplinary history, if applicable.

06

Submit any required fees along with the application form.

07

Double-check all entries for accuracy before submitting the application.

08

Keep a copy of the submitted application for your records.

Who needs non-finra broker-dealer renewal application?

01

All broker-dealer firms that are not members of FINRA and wish to continue their operations must submit a non-FINRA broker-dealer renewal application.

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What is non-finra broker-dealer renewal application?

The non-FINRA broker-dealer renewal application is a form that broker-dealers who are not members of the Financial Industry Regulatory Authority (FINRA) must complete to maintain their registration and compliance with state and federal regulations.

Who is required to file non-finra broker-dealer renewal application?

All broker-dealers that operate but are not members of FINRA are required to file the non-FINRA broker-dealer renewal application to ensure they are in compliance with regulatory standards.

How to fill out non-finra broker-dealer renewal application?

To fill out the non-FINRA broker-dealer renewal application, one must provide detailed information about the firm's operations, management, financial condition, and any changes since the previous application, ensuring all sections are accurately completed.

What is the purpose of non-finra broker-dealer renewal application?

The purpose of the non-FINRA broker-dealer renewal application is to assess the broker-dealer's ongoing compliance with regulatory requirements and to allow them to legally continue conducting business.

What information must be reported on non-finra broker-dealer renewal application?

The application must report information such as the business structure, financial statements, disclosures about criminal history or disciplinary actions, and updates on business operations or personnel.

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