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The brokerdealer must complete the notarized "Oath or Affirmation" on the Facing Page and, for paper filings, attach it to the filing. This sample template has been prepared for general guidance and informational purposes only and does not constitute professional advice.A securities broker or dealer shall, not later than 30 days after occurrence, complete this statement. All changes occurring within. (c) The registration of brokers, dealers and salespersons shall be for a period of four years. No license application will be considered complete without the following documents: A. A notarized Statement of Financial Condition. CRD must receive full payment of the firm's Preliminary Renewal Statement in early December. Broker Dealer Registration. Financial Statement Filings. The statement must be dated no later than December 1 (or 20 calendar days after the effective date of its registration as a broker or dealer, if earlier).