Arizona Form BD

Name: Arizona Form BD
Brand: US Legal Forms
Price: 59.00 USD
Rating: 4.57 (448 reviews)

Category:

Arizona Secretary of State - Securities - Industry - Investment Adviser

State:

Arizona

Control #:

AZ-BSS-35

Format:

Instant download

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Public form

Description

Form BD Arizona Form BD is a form issued by the Arizona Department of Financial Institutions (AZ DFI) to be completed by any individual or entity who wishes to register as a broker-dealer in the state of Arizona. It is used to register with the AZ DFI's Securities Division, and must be completed and filed along with the appropriate fees. There are two types of Arizona Form BD: the Standard Form BD and the Electronic Form BD. The Standard Form BD must be printed and completed by hand, while the Electronic Form BD can be completed and submitted online. Both forms require information such as business name, address, financial information, and background information.

Arizona Form BD is a form issued by the Arizona Department of Financial Institutions (AZ DFI) to be completed by any individual or entity who wishes to register as a broker-dealer in the state of Arizona. It is used to register with the AZ DFI's Securities Division, and must be completed and filed along with the appropriate fees. There are two types of Arizona Form BD: the Standard Form BD and the Electronic Form BD. The Standard Form BD must be printed and completed by hand, while the Electronic Form BD can be completed and submitted online. Both forms require information such as business name, address, financial information, and background information.

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FAQ

The Form BD is the Uniform Application for Broker-Dealer registration with the SEC, SROs and jurisdictions. It provides background information on the applicant and the nature of its business.

Broker-Dealers must file Form BD through the Central Registration Depository (CRD) system, operated by the Financial Industry Regulatory Authority (FINRA).

The Form also is used by applicants to register as broker- dealers with certain self-regulatory organizations and all of the states. The Commission and the Financial Industry Regulatory Authority, Inc. maintain the files of the information on this Form and will make the information publicly available.

The Form BD is the Uniform Application for Broker-Dealer registration with the SEC, SROs and jurisdictions. It provides background information on the applicant and the nature of its business. It includes lists of the executive officers and general partners of the company.

The initial Hard Copy Form BD must bear an original signature on behalf of the Applicant (mechanical reproductions are not acceptable) and the signature date field must reflect a complete month, day and year.

SEC Form BD (the "Uniform Application for Broker-Dealer Registration") requires that the applying company disclose background information, including management policies that direct the firm, the names of executives and general partners, successor information, and any current legal proceedings or previous securities

To conduct securities transactions and business with the investing public in the United States, both firms and individuals must be registered with FINRA. Firms must apply and meet certain membership standards to become a FINRA-registered broker-dealer.

More info

A full paper Form BD is required when the applicant is filing with the CRD for the first time. Ensure that the date field reflects a complete date (month, day, and year).Checkbox, Has the Form BD been originally and properly notarized? Form BD should be completed in accordance with the form instructions. Form BD is the Uniform Application for Broker-Dealer Registration. (a) This form shall be used for application for registration as a broker-dealer under the Securities Exchange Act of 1934, or to amend such application. The first step in applying for a U.S. nonimmigrant visa is to complete your application. Guidelines for Completing the Form DS-160; More Information. Overview. Each applicant, including children, must have their own Form DS-160 visa application. 4 Form NMA is organized according to the twelve standards for FINRA.

Arizona Form BD

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