The Virginia Broker-Dealer Affidavit is a legal document that is used to register a broker-dealer with the Virginia State Corporation Commission. This document must be submitted to the Commission in order to become a licensed broker-dealer in the state of Virginia. The affidavit provides information about the broker-dealer's business operations, history, and financial information. There are two types of Virginia Broker-Dealer Affidavit: Form BD-1 and Form BD-2. Form BD-1 is used when registering a broker-dealer that is not registered in any other jurisdiction. Form BD-2 is used when registering a broker-dealer that is already registered in another jurisdiction. Both forms require information about the broker-dealer, such as ownership information, financial information, and background information. The affidavit must be signed by the broker-dealer's principal executive officer, and must be notarized.
Virginia Broker-Dealer Affidavit
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How to fill out Virginia Broker-Dealer Affidavit?
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FAQ
An application to register securities is made by filing the following: Completed application form. Application fee, payable to "Treasurer of Virginia". Offering document. Any other information required during the registration process by the Securities Act or regulations.
Yes, in addition to being correctly signed and witnessed, an affidavit must be notarized in order to be legally binding.
To apply in Virginia, advisors must apply for access to FINRA's WebCRD/IARD online system. Virginia uses FINRA to process applications, but FINRA doesn't supervise RIA firms. This is the online portion of the RIA's registration document. Its primary focus is to share information about the firm.
The filing fee to form an LLC in Virginia is $100. Filings can take 3 to 12 days to process. Expedited service is available for an additional fee. incorporate.com will handle all filing requirements and provide you with the total cost to get your business up and running in Virginia.
Becoming a stockbroker in Virginia will involve registration with the Virginia State Corporation Commission: Division of Securities and Retail Franchising as a broker-dealer agent, as well as registration with a Securities and Exchange Commission (SEC)-recognized self-regulatory organization (SRO).
The goal of the Act is to protect the investing public by requiring all broker-dealers, agents, investment advisors, and investment advisor representatives to register before conducting business in the state of Virginia.