The New York M-10 Broker Dealer Statement with Instructions (revised 1/23/2018) is a document issued by the New York State Department of Financial Services (DFS). It consists of a form and instructions for filing a broker-dealer statement. The form is intended for use by broker-dealers that are registered with the DFS and who are required to submit a financial report or statement to the DFS. The form must be completed and submitted to the DFS on an annual basis, and updated as needed. The instructions provide guidance on the information that must be included in the form, such as the name and address of the broker-dealer, the fiscal year for which the statement is being filed, the types of business activities conducted, and any other pertinent information. The form also requires disclosure of any disciplinary action taken against the broker-dealer and any customer complaints that have been filed against the broker-dealer. There are two versions of the New York M-10 Broker Dealer Statement with Instructions: the standard version, and the revised version (1/23/2018).
New York M-10 Broker Dealer Statement with Instructions (revised 1/23/2018)
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FINRA broker-dealers must register by filing Form BD through the Central Registration Depository (CRD) online portal. All correspondence to FINRA should be sent to: P.O. Box 9401, Gaithersburg MD 20898-9401. All pertinent information is received through the CRD by the New York State Department of Law.
FINRA Regulates Broker-Dealers, Capital Acquisition Brokers, and Funding Portals. A Broker Dealer is in the business of buying or selling securities on behalf of its customers or its own account or both.
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.
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.
With few exceptions, broker-dealer firms must register with the Securities and Exchange Commission and be members of FINRA.
FINRA is responsible for regulating the securities industry and conducting arbitration matters. You can request CRD information from this agency. FINRA was formed in 2007 when the National Association of Securities Dealers (NASD) Regulation, Inc., merged with New York Stock Exchange (NYSE) Arbitration in 2007.
dealer must comply with relevant state law as well as federal law and applicable SRO rules.
Financial Industry Regulatory Authority (FINRA) FINRA was formed in 2007 when the National Association of Securities Dealers (NASD) Regulation, Inc., merged with New York Stock Exchange (NYSE) Arbitration in 2007.