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Utah Uniform Application for Broker-Dealer Registration

Utah Uniform Application for Broker-Dealer Registration

Name: Utah Uniform Application for Broker-Dealer Registration
Brand: US Legal Forms
Price: 59.00 USD
Rating: 4.68 (205 reviews)

Category:

Utah Department of Commerce - Blue Sky - Securities

State:

Utah

Control #:

UT-SKU-0024

Format:

Instant download

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Description

Uniform Application for Broker-Dealer Registration The Utah Uniform Application for Broker-Dealer Registration is a form provided by the Utah Division of Securities for those seeking to become registered as a broker-dealer in the state of Utah. The form is used to collect information about the applicant, their business, and their financial condition. There are two types of the Utah Uniform Application for Broker-Dealer Registration: one for Initial Registration, and one for Renewal Registration. The Initial Application is used to register a new broker-dealer for the first time, while the Renewal Application is used to renew an existing registration. The form requires information such as the applicant’s legal name and address, the type of securities activities they are engaging in, their financial history, and other relevant information. Once the form is completed and submitted, the Division of Securities will review it and determine whether the applicant is eligible for registration.

The Utah Uniform Application for Broker-Dealer Registration is a form provided by the Utah Division of Securities for those seeking to become registered as a broker-dealer in the state of Utah. The form is used to collect information about the applicant, their business, and their financial condition. There are two types of the Utah Uniform Application for Broker-Dealer Registration: one for Initial Registration, and one for Renewal Registration. The Initial Application is used to register a new broker-dealer for the first time, while the Renewal Application is used to renew an existing registration. The form requires information such as the applicant’s legal name and address, the type of securities activities they are engaging in, their financial history, and other relevant information. Once the form is completed and submitted, the Division of Securities will review it and determine whether the applicant is eligible for registration.

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FAQ

Most "brokers" and "dealers" must register with the SEC and join a "self-regulatory organization," or SRO. This section covers the factors that determine whether a person is a broker or dealer. It also describes the types of brokers and dealers that do not have to register with the SEC.

Form BD is the Uniform Application for Broker-Dealer Registration. Broker-Dealers must file this form to register with the Securities and Exchange Commission, the self-regulatory organizations, and jurisdictions through the Central Registration Depository (?CRD?) system, operated by FINRA.

With few exceptions, broker-dealer firms must register with the Securities and Exchange Commission and be members of FINRA.

To apply for registration, you must file one executed copy of Form BD through the Central Registration Depository ("CRD"), which is operated by FINRA. (The only exception is for banks registering as municipal securities dealers, which file Form MSD directly with the SEC and with their appropriate banking regulator.)

How to Apply Step 1: Reserve Your Firm's Name.Step 2: Sign up for System Access.Step 3: Pay Your Application Fees.Step 4: Meet FINRA's Standards of Admission.Step 5: Submit Form BD Online.Step 6: Mail Hard-Copy Form BD.Step 7: Submit All Additional Required Forms.Step 8: Submit Fingerprints.

Registration Exemptions Employees exempt from FINRA registration include individuals whose functions are: Solely clerical and/or ministerial in nature, Related solely to the member's need for nominal corporate officers or capital participation (limited partners), OR.

To conduct securities transactions and business with the investing public in the United States, both firms and individuals must be registered with FINRA. Firms must apply and meet certain membership standards to become a FINRA-registered broker-dealer.

Firms must register any person engaged in the securities business of the firm ? including salespersons, branch managers, department supervisors, partners, officers and directors ? before they can take a qualification exam.

More info

Items 1 - 12 — Form BD is the Uniform Application for Broker-Dealer Registration. Form BD - Uniform Application for Broker-Dealer Registration ✓ easily fill out and sign forms ✓ download blank or editable online.SEC Uniform Application for Broker-Dealer Registration form that broker-dealers must file to register with the SEC under Section 15(b) of the PLI PLUS is Practising Law Institute's research database which provides electronic access to the full collection of PLI Press publications. A. As a broker-dealer pursuant to Minnesota Statutes, section 80A. For registration of broker-dealers, investment advisors and issuer- dealers, to be used for filing under state securities laws. Do you need to submit a Uniform Application For Broker-Dealer Registration - Form BD in Broad Bottom, KY? Be sure to check off the "Connecticut" block. Form U-4 (Uniform Application for Securities Industry Registration or Transfer). 6, compiled at MCL 445.2034. 451.

Utah Uniform Application for Broker-Dealer Registration

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How to fill out Utah Uniform Application For Broker-Dealer Registration?

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FAQ

Who must a broker-dealer be registered with?

Who must a broker-dealer file Form BD with?

Are all broker-dealers registered with FINRA?

How do I register as a broker-dealer?

How to start broker-dealer FINRA?

Who is exempt from FINRA registration?

Do all broker-dealers have to register with FINRA?

Who is required to register with FINRA?

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