Checklist For Missouri Broker-Dealer Applicants

State:
Missouri
Control #:
MO-SKU-1962
Format:
PDF
Instant download
This website is not affiliated with any governmental entity
Public form

Description

Checklist For Missouri Broker-Dealer Applicants Checklist For Missouri Broker-Dealer Applicants is a list of requirements that must be met in order to obtain a license to operate as a broker-dealer in the state of Missouri. The checklist includes the following categories: 1. Registration: The applicant must complete the appropriate forms and submit them to the Missouri Secretary of State. 2. Financial Requirements: The applicant must submit a financial statement to the Missouri Secretary of State showing sufficient capitalization to conduct the business of a broker-dealer. 3. Surety Bond: The applicant must obtain a surety bond in the amount of $50,000 from a surety company authorized to do business in Missouri. 4. Fingerprinting: All applicants must submit fingerprints to the Missouri State Highway Patrol. 5. Business Plan: The applicant must submit a business plan that outlines the operations of the proposed broker-dealer. 6. Disclosure Documents: The applicant must submit disclosure documents that disclose all material facts about the applicant and the broker-dealer to prospective customers. 7. Registration Fee: The applicant must pay a registration fee of $500. 8. Background Check: The applicant must undergo a background check by the Missouri Securities Division. There are two types of Checklist For Missouri Broker-Dealer Applicants: Initial Checklist and Renewal Checklist. The Initial Checklist consists of items 1-8 listed above. The Renewal Checklist consists of items 1-6 plus a renewal fee of $500.

Checklist For Missouri Broker-Dealer Applicants is a list of requirements that must be met in order to obtain a license to operate as a broker-dealer in the state of Missouri. The checklist includes the following categories: 1. Registration: The applicant must complete the appropriate forms and submit them to the Missouri Secretary of State. 2. Financial Requirements: The applicant must submit a financial statement to the Missouri Secretary of State showing sufficient capitalization to conduct the business of a broker-dealer. 3. Surety Bond: The applicant must obtain a surety bond in the amount of $50,000 from a surety company authorized to do business in Missouri. 4. Fingerprinting: All applicants must submit fingerprints to the Missouri State Highway Patrol. 5. Business Plan: The applicant must submit a business plan that outlines the operations of the proposed broker-dealer. 6. Disclosure Documents: The applicant must submit disclosure documents that disclose all material facts about the applicant and the broker-dealer to prospective customers. 7. Registration Fee: The applicant must pay a registration fee of $500. 8. Background Check: The applicant must undergo a background check by the Missouri Securities Division. There are two types of Checklist For Missouri Broker-Dealer Applicants: Initial Checklist and Renewal Checklist. The Initial Checklist consists of items 1-8 listed above. The Renewal Checklist consists of items 1-6 plus a renewal fee of $500.

How to fill out Checklist For Missouri Broker-Dealer Applicants?

If you’re searching for a way to appropriately complete the Checklist For Missouri Broker-Dealer Applicants without hiring a lawyer, then you’re just in the right place. US Legal Forms has proven itself as the most extensive and reliable library of official templates for every private and business situation. Every piece of paperwork you find on our online service is designed in accordance with nationwide and state regulations, so you can be certain that your documents are in order.

Follow these straightforward instructions on how to obtain the ready-to-use Checklist For Missouri Broker-Dealer Applicants:

  1. Ensure the document you see on the page complies with your legal situation and state regulations by checking its text description or looking through the Preview mode.
  2. Type in the document name in the Search tab on the top of the page and choose your state from the dropdown to locate an alternative template if there are any inconsistencies.
  3. Repeat with the content check and click Buy now when you are confident with the paperwork compliance with all the demands.
  4. ​Log in to your account and click Download. Register for the service and opt for the subscription plan if you still don’t have one.
  5. Use your credit card or the PayPal option to pay for your US Legal Forms subscription. The blank will be available to download right after.
  6. Decide in what format you want to get your Checklist For Missouri Broker-Dealer Applicants and download it by clicking the appropriate button.
  7. Import your template to an online editor to complete and sign it quickly or print it out to prepare your hard copy manually.

Another great thing about US Legal Forms is that you never lose the paperwork you acquired - you can find any of your downloaded templates in the My Forms tab of your profile whenever you need it.

Trusted and secure by over 3 million people of the world’s leading companies

Checklist For Missouri Broker-Dealer Applicants