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New York Bureau of Investor Protection And Securities Commodity Broker-Dealer Statement

Category:
New York Secretary of State - Blue Sky - Investor Protection and Securities
State:
New York
Control #:
NY-AG-CBD
Format:
PDF
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Description

Bureau of Investor Protection And Securities Commodity Broker-Dealer Statement The New York Bureau of Investor Protection and Securities Commodity Broker-Dealer Statement is a document that is required to be filed by securities and commodities brokers and dealers who do business within the state of New York. It provides the New York State Department of Financial Services with detailed information regarding the firm’s business activities, financial condition, and securities and commodities products offered. The statement also helps to ensure that the broker-dealer is compliant with applicable regulations and laws. The New York Bureau of Investor Protection and Securities Commodity Broker-Dealer Statement consists of two parts: 1) Form BD-N and 2) Form BD-Q. Form BD-N is a filing that includes the broker-dealer’s background information, including its legal structure, officers, directors, and other key personnel. Form BD-Q is a filing that provides information about the broker-dealer’s financial condition, including its capital and net capital, customer funds, and record keeping and compliance procedures. Both forms must be filed with the New York State Department of Financial Services.

The New York Bureau of Investor Protection and Securities Commodity Broker-Dealer Statement is a document that is required to be filed by securities and commodities brokers and dealers who do business within the state of New York. It provides the New York State Department of Financial Services with detailed information regarding the firm’s business activities, financial condition, and securities and commodities products offered. The statement also helps to ensure that the broker-dealer is compliant with applicable regulations and laws. The New York Bureau of Investor Protection and Securities Commodity Broker-Dealer Statement consists of two parts: 1) Form BD-N and 2) Form BD-Q. Form BD-N is a filing that includes the broker-dealer’s background information, including its legal structure, officers, directors, and other key personnel. Form BD-Q is a filing that provides information about the broker-dealer’s financial condition, including its capital and net capital, customer funds, and record keeping and compliance procedures. Both forms must be filed with the New York State Department of Financial Services.

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New York Bureau of Investor Protection And Securities Commodity Broker-Dealer Statement
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