US Legal Forms
Virginia Uniform Application for Broker-Dealer Registration

Virginia Uniform Application for Broker-Dealer Registration

Name: Virginia Uniform Application for Broker-Dealer Registration
Brand: US Legal Forms
Price: 59.00 USD
Rating: 4.55 (207 reviews)

Category:

Virginia Secretary of State - Blue Sky - Securities and Franchising

State:

Virginia

Control #:

VA-SOS-BD

Format:

Instant download

This website is not affiliated with any governmental entity

Public form

Description

Uniform Application for Broker-Dealer Registration The Virginia Uniform Application for Broker-Dealer Registration is a form used to register and maintain broker-dealer registration with the Virginia State Corporation Commission. It is used by broker-dealers to register with the state, as well as for making changes to an existing registration. The application is divided into four parts: Part I is the broker-dealer’s basic information, Part II covers financial statements, Part III covers the broker-dealer’s principal activities, and Part IV includes the signature page. All four parts must be completed in order to register or make changes to an existing registration. There are also two different types of Virginia Uniform Applications for Broker-Dealer Registration forms, one for initial applications and one for renewal applications.

The Virginia Uniform Application for Broker-Dealer Registration is a form used to register and maintain broker-dealer registration with the Virginia State Corporation Commission. It is used by broker-dealers to register with the state, as well as for making changes to an existing registration. The application is divided into four parts: Part I is the broker-dealer’s basic information, Part II covers financial statements, Part III covers the broker-dealer’s principal activities, and Part IV includes the signature page. All four parts must be completed in order to register or make changes to an existing registration. There are also two different types of Virginia Uniform Applications for Broker-Dealer Registration forms, one for initial applications and one for renewal applications.

View Video Surveillance Agreement and Release

View this form

View Marketing Research Agreement

View this form

View Sample Franchise Agreement

View this form

View Warrant and Ins for Product Return

View this form

View Sample Letter regarding Complaint and Subcontract Agreement

View this form

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

Working with legal documentation requires attention, accuracy, and using well-drafted templates. US Legal Forms has been helping people nationwide do just that for 25 years, so when you pick your Virginia Uniform Application for Broker-Dealer Registration template from our service, you can be sure it complies with federal and state regulations.

Dealing with our service is straightforward and fast. To obtain the necessary paperwork, all you’ll need is an account with a valid subscription. Here’s a brief guideline for you to find your Virginia Uniform Application for Broker-Dealer Registration within minutes:

Remember to attentively look through the form content and its correspondence with general and legal requirements by previewing it or reading its description.
Search for another formal template if the previously opened one doesn’t match your situation or state regulations (the tab for that is on the top page corner).
Log in to your account and download the Virginia Uniform Application for Broker-Dealer Registration in the format you prefer. If it’s your first experience with our service, click Buy now to proceed.
Create an account, choose your subscription plan, and pay with your credit card or PayPal account.
Choose in what format you want to obtain your form and click Download. Print the blank or upload it to a professional PDF editor to submit it paper-free.

All documents are created for multi-usage, like the Virginia Uniform Application for Broker-Dealer Registration you see on this page. If you need them one more time, you can fill them out without re-payment - just open the My Forms tab in your profile and complete your document any time you need it. Try US Legal Forms and prepare your business and personal paperwork rapidly and in full legal compliance!

Form Rating

4.55

Satisfied(207)

Form popularity

FAQ

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.)

Registered financial professionals are licensed sales personnel who work for broker-dealer firms. Broker-dealers are in the business of buying and selling securities?stocks, bonds, mutual funds and certain other investment products?on behalf of their customers (as broker), for their own accounts (as dealer) or both.

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.

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.

III. HOW TO REGISTER AS A BROKER-DEALER it has properly filed Form BD, and the SEC has granted its registration; it has become a member of an SRO; it has become a member of SIPC, the Securities Investor Protection Corporation; it complies with all applicable state requirements; and.

GENERAL INSTRUCTIONS 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.

FINRA Regulates Broker-Dealers, Capital Acquisition Brokers, and Funding Portals. A Broker Dealer is in the business of buying or selling securities on behalf of its customers or its own account or both. A Capital Acquisition Broker is a Broker Dealer subject to a narrower rule book.

The Form also is used by applicants to register as broker- dealers with certain self-regulatory organizations and all of the states. The Commission and the Financial Industry Regulatory Authority, Inc. maintain the files of the information on this Form and will make the information publicly available.

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.

Virginia Uniform Application for Broker-Dealer Registration

Description

Related forms

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

Show more info

Form Rating

Form popularity

FAQ

How do I register as a broker-dealer?

What is a broker vs dealer FINRA?

How to start broker-dealer FINRA?

Does a broker-dealer have to register with FINRA?

How do I register as a broker-dealer with the SEC?

What is the instructions form BD?

What is a FINRA registered broker-dealer?

Are form BD filings publicly available?

More info

Trusted and secure by over 3 million people of the world’s leading companies