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  • New York Sponsors And Selling Agents Broker Dealer Statement

New York Sponsors And Selling Agents Broker Dealer Statement

Category:
New York Secretary of State - Blue Sky - Investor Protection and Securities
State:
New York
Control #:
NY-AG-M10-0
Format:
PDF
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Description

Sponsors And Selling Agents Broker Dealer Statement New York Sponsors and Selling Agents Broker Dealer Statement is a filing requirement that must be completed by any broker-dealers who plan to offer securities in the state of New York. The statement must be filed with the New York State Department of Financial Services, and provides information about the broker-dealer, its business activities, and its financial condition. This statement must be updated annually, and must include information such as the broker-dealer’s business purpose, its registration status, its capital structure, its financial statements, its disciplinary history, and its customer complaints. There are two types of New York Sponsors and Selling Agents Broker Dealer Statement: Initial Statement and Annual Statement. The Initial Statement must be filed before the broker-dealer can transact business in New York, while the Annual Statement must be filed each year thereafter. These statements are used to help protect investors by ensuring that broker-dealers are qualified and in compliance with New York state laws.

New York Sponsors and Selling Agents Broker Dealer Statement is a filing requirement that must be completed by any broker-dealers who plan to offer securities in the state of New York. The statement must be filed with the New York State Department of Financial Services, and provides information about the broker-dealer, its business activities, and its financial condition. This statement must be updated annually, and must include information such as the broker-dealer’s business purpose, its registration status, its capital structure, its financial statements, its disciplinary history, and its customer complaints. There are two types of New York Sponsors and Selling Agents Broker Dealer Statement: Initial Statement and Annual Statement. The Initial Statement must be filed before the broker-dealer can transact business in New York, while the Annual Statement must be filed each year thereafter. These statements are used to help protect investors by ensuring that broker-dealers are qualified and in compliance with New York state laws.

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New York Sponsors And Selling Agents Broker Dealer Statement
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