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New York M-10 Broker Dealer Statement with Instructions (revised 1/23/2018)

Category:
New York Statewide - Real Estate - Financing - Offering Plans
State:
New York
Control #:
NY-AG-M10
Format:
PDF
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Description

M-10 Broker Dealer Statement with Instructions (revised 1/23/2018) The New York M-10 Broker Dealer Statement with Instructions (revised 1/23/2018) is a document issued by the New York State Department of Financial Services (DFS). It consists of a form and instructions for filing a broker-dealer statement. The form is intended for use by broker-dealers that are registered with the DFS and who are required to submit a financial report or statement to the DFS. The form must be completed and submitted to the DFS on an annual basis, and updated as needed. The instructions provide guidance on the information that must be included in the form, such as the name and address of the broker-dealer, the fiscal year for which the statement is being filed, the types of business activities conducted, and any other pertinent information. The form also requires disclosure of any disciplinary action taken against the broker-dealer and any customer complaints that have been filed against the broker-dealer. There are two versions of the New York M-10 Broker Dealer Statement with Instructions: the standard version, and the revised version (1/23/2018).

The New York M-10 Broker Dealer Statement with Instructions (revised 1/23/2018) is a document issued by the New York State Department of Financial Services (DFS). It consists of a form and instructions for filing a broker-dealer statement. The form is intended for use by broker-dealers that are registered with the DFS and who are required to submit a financial report or statement to the DFS. The form must be completed and submitted to the DFS on an annual basis, and updated as needed. The instructions provide guidance on the information that must be included in the form, such as the name and address of the broker-dealer, the fiscal year for which the statement is being filed, the types of business activities conducted, and any other pertinent information. The form also requires disclosure of any disciplinary action taken against the broker-dealer and any customer complaints that have been filed against the broker-dealer. There are two versions of the New York M-10 Broker Dealer Statement with Instructions: the standard version, and the revised version (1/23/2018).

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New York M-10 Broker Dealer Statement with Instructions (revised 1/23/2018)
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