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This document serves as a certification that a Broker-Dealer has conducted a thorough review of its activities and has not engaged in non-exempt transactions in specified states within the past 36 months. It includes sections for detailing transactions and certifications regarding exemption reliance.

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How to fill out broker-dealer questionnaire and affidavit

01

Read the instructions provided with the questionnaire carefully to understand the requirements.

02

Gather all necessary documentation and information related to your broker-dealer activities.

03

Begin filling out the questionnaire by providing your personal and business information accurately.

04

Answer each question thoroughly and truthfully, ensuring that you provide any required details or explanations.

05

If applicable, include any supplementary documents that may support your answers.

06

Review the completed questionnaire for accuracy and completeness before submission.

07

Sign and date the affidavit to certify that the information provided is true and correct.

08

Submit the questionnaire and affidavit by the deadline specified.

Who needs broker-dealer questionnaire and affidavit?

01

Individuals or firms wishing to operate as broker-dealers.

02

Existing broker-dealers seeking to renew or update their registration.

03

Entities looking to comply with regulatory requirements for financial services.

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What is broker-dealer questionnaire and affidavit?

A broker-dealer questionnaire and affidavit is a document that collects detailed information about a broker-dealer's business practices, financial condition, regulatory compliance, and employees, as part of the regulatory requirements for operating in the securities industry.

Who is required to file broker-dealer questionnaire and affidavit?

Broker-dealers that are applying for registration or renewal, and those who make changes to their business structure, ownership, or control are required to file the broker-dealer questionnaire and affidavit.

How to fill out broker-dealer questionnaire and affidavit?

To fill out the broker-dealer questionnaire and affidavit, carefully read each question, provide accurate and complete responses, include any necessary supporting documentation, and ensure the form is signed and dated by the appropriate authority within the broker-dealer firm.

What is the purpose of broker-dealer questionnaire and affidavit?

The purpose of the broker-dealer questionnaire and affidavit is to ensure that broker-dealers meet regulatory standards, maintain transparency in their operations, and adhere to compliance requirements set forth by regulatory agencies.

What information must be reported on broker-dealer questionnaire and affidavit?

The information that must be reported includes the broker-dealer's business structure, ownership details, financial statements, compliance history, disclosures of any regulatory actions, and information about key personnel.

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