Get State Of Nj Department Of Law And Public Safety Broker Dealer Supplement Form

This guide provides clear, step-by-step instructions on how to complete the State Of Nj Department Of Law And Public Safety Broker Dealer Supplement Form online. It is designed for users with varying levels of experience in legal documentation.

Follow the steps to accurately complete your application.

1. Click the ‘Get Form’ button to obtain the form and open it in the editor.
2. Provide your contact information. Fill in your name, telephone number, and address in the respective fields. This information is crucial for communication regarding your application.
3. List the names and CRD numbers of the firm’s two registered principals as required by NASD Rule 1021(e). This includes their names and the examinations they have passed.
4. Indicate the nature and location of each business in which the applicant has engaged during the previous five years, specifying the dates, nature of the business, and any relevant details.
5. Provide the information for parent companies, including their names, nature of business, and date of incorporation.
6. Detail the names, CRD numbers, or Social Security Numbers and addresses of any shareholders owning 10% or more of any parent company. Include similar details if there are multiple parent companies.
7. Attach the required accompanying documents, such as a completed New Jersey Broker-Dealer Supplement Form and statements confirming compliance with various regulations.
8. Ensure you provide the latest certified financial statement and balance sheet, signed by a principal and notarized, as part of your application.
9. Confirm all information is accurate and ensure all required fields are filled before submitting your application online.
10. After verifying all details, choose to save changes, download, print, or share the form as needed.

Complete your application online to ensure a smooth submission process.