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North Dakota Affidavit of Broker-Dealer Activity

Category:
North Dakota Secretary of State - Blue Sky - Securities
State:
North Dakota
Control #:
ND-SKU-0036
Format:
PDF
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Description

Affidavit of Broker-Dealer Activity The North Dakota Affidavit of Broker-Dealer Activity is a document that is required by the North Dakota Securities Department to be submitted by brokers and dealers registered in the state. This affidavit must be completed and submitted annually in order to maintain registration with the state. The affidavit includes information about the broker-dealer’s business activities, such as the number of customers, transactions, and accounts, as well as the total dollar amount of securities sold. It also requires disclosure of any disciplinary actions taken against the broker-dealer by the North Dakota Securities Department or any other regulatory agency. There are two types of North Dakota Affidavit of Broker-Dealer Activity: Form B — Broker-Dealer Activity and Form D – Dealer Activity.

The North Dakota Affidavit of Broker-Dealer Activity is a document that is required by the North Dakota Securities Department to be submitted by brokers and dealers registered in the state. This affidavit must be completed and submitted annually in order to maintain registration with the state. The affidavit includes information about the broker-dealer’s business activities, such as the number of customers, transactions, and accounts, as well as the total dollar amount of securities sold. It also requires disclosure of any disciplinary actions taken against the broker-dealer by the North Dakota Securities Department or any other regulatory agency. There are two types of North Dakota Affidavit of Broker-Dealer Activity: Form B — Broker-Dealer Activity and Form D – Dealer Activity.

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