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Virginia Broker-Dealer's Surety Bond

Category:
Virginia Secretary of State - Blue Sky - Securities and Franchising
State:
Virginia
Control #:
VA-SOS-SA11
Format:
PDF
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Description

Broker-Dealer's Surety Bond The Virginia Broker-Dealer's Surety Bond is a type of financial guarantee bond issued by a surety company to guarantee that a broker dealer will comply with the terms and conditions of the Virginia State Corporation Commission. It provides financial protection to customers of a broker-dealer if the broker-dealer fails to fulfill its legal obligations. The bond also ensures that any losses suffered by customers due to the broker-dealer’s bad faith or negligence are compensated. There are two types of Virginia Broker-Dealer's Surety Bonds: the Initial Bond and the Renewal Bond. The Initial Bond is required for new broker-dealers in order to obtain a license from the Virginia State Corporation Commission. The Renewal Bond is required for renewal of the broker-dealer’s license. Both bonds guarantee that the broker-dealer will comply with all applicable state and federal laws and regulations.

The Virginia Broker-Dealer's Surety Bond is a type of financial guarantee bond issued by a surety company to guarantee that a broker dealer will comply with the terms and conditions of the Virginia State Corporation Commission. It provides financial protection to customers of a broker-dealer if the broker-dealer fails to fulfill its legal obligations. The bond also ensures that any losses suffered by customers due to the broker-dealer’s bad faith or negligence are compensated. There are two types of Virginia Broker-Dealer's Surety Bonds: the Initial Bond and the Renewal Bond. The Initial Bond is required for new broker-dealers in order to obtain a license from the Virginia State Corporation Commission. The Renewal Bond is required for renewal of the broker-dealer’s license. Both bonds guarantee that the broker-dealer will comply with all applicable state and federal laws and regulations.

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