Washington Form BD — Uniform Application for Broker-Dealer Registration is a form that must be completed by broker-dealers that are registered in the state of Washington. Broker-dealers are individuals or firms that buy and sell securities on behalf of clients. The form is used to register a broker-dealer or a branch office of a broker-dealer with the Washington State Department of Financial Institutions (DFI). It requires information about the applicant’s business operations, financial condition, capitalization, and background. There are three types of Washington Form BD — Uniform Application for Broker-Dealer Registration: Initial Application, Amendment, and Renewal. The Initial Application is used to register a broker-dealer or branch office for the first time. The Amendment is used to update information from the Initial Application. The Renewal is used to register a broker-dealer or branch office for subsequent years.
Washington Form BD - Uniform Application for Broker-Dealer Registration
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How to fill out Washington Form BD - Uniform Application For Broker-Dealer Registration?
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