Pennsylvania Report On Sales of Securities

State:
Pennsylvania
Control #:
PA-SKU-0007
Format:
PDF
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Description

Report On Sales of Securities The Pennsylvania Report On Sales of Securities (CROSS) is a filing requirement for most Pennsylvania broker-dealers. It is an annual report that provides information on sales of securities in the Pennsylvania marketplace. The CROSS is divided into two separate reports: the Broker-Dealer Report and the Issuer Report. The Broker-Dealer Report requires Pennsylvania broker-dealers to report all completed sales of securities in the state. It encompasses all purchases and sales of securities, including those transacted through the internet. The report must include information such as the name of the security, the date of the sale, the number of shares, the purchase price, and the commission paid. The Issuer Report requires companies that have sold securities in the state to report the issuance of the securities. The report must include information such as the name of the security, the date of the sale, the number of shares, and the purchase price. The CROSS is used by the Pennsylvania Department of Banking and Securities to monitor the activities of broker-dealers and to ensure that securities sales are conducted in compliance with state regulations. It is also used to provide investors with more information about the securities they may be interested in purchasing.

The Pennsylvania Report On Sales of Securities (CROSS) is a filing requirement for most Pennsylvania broker-dealers. It is an annual report that provides information on sales of securities in the Pennsylvania marketplace. The CROSS is divided into two separate reports: the Broker-Dealer Report and the Issuer Report. The Broker-Dealer Report requires Pennsylvania broker-dealers to report all completed sales of securities in the state. It encompasses all purchases and sales of securities, including those transacted through the internet. The report must include information such as the name of the security, the date of the sale, the number of shares, the purchase price, and the commission paid. The Issuer Report requires companies that have sold securities in the state to report the issuance of the securities. The report must include information such as the name of the security, the date of the sale, the number of shares, and the purchase price. The CROSS is used by the Pennsylvania Department of Banking and Securities to monitor the activities of broker-dealers and to ensure that securities sales are conducted in compliance with state regulations. It is also used to provide investors with more information about the securities they may be interested in purchasing.

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Pennsylvania Report On Sales of Securities