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Vermont Affidavit of Broker-Dealer Activity

Category:
Vermont Secretary of State - Blue Sky - Securities
State:
Vermont
Control #:
VT-SKU-0199
Format:
PDF
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Description

Affidavit of Broker-Dealer Activity The Vermont Affidavit of Broker-Dealer Activity is a declaration used to register broker-dealers in the State of Vermont. Broker-dealers must submit this affidavit to the Vermont Secretary of State to become a legally registered broker-dealer in the state. The affidavit must include the broker-dealer's name, address, contact information, and registration number issued by the Financial Industry Regulatory Authority (FINRA). There are three types of Vermont Affidavit of Broker-Dealer Activity: Initial Registration Affidavit, Renewal Affidavit, and Termination Affidavit. The Initial Registration Affidavit is used to initially register a broker-dealer with the state. The Renewal Affidavit is used to renew a broker-dealer's registration with the state every two years. The Termination Affidavit is used to terminate a broker-dealer's registration with the state.

The Vermont Affidavit of Broker-Dealer Activity is a declaration used to register broker-dealers in the State of Vermont. Broker-dealers must submit this affidavit to the Vermont Secretary of State to become a legally registered broker-dealer in the state. The affidavit must include the broker-dealer's name, address, contact information, and registration number issued by the Financial Industry Regulatory Authority (FINRA). There are three types of Vermont Affidavit of Broker-Dealer Activity: Initial Registration Affidavit, Renewal Affidavit, and Termination Affidavit. The Initial Registration Affidavit is used to initially register a broker-dealer with the state. The Renewal Affidavit is used to renew a broker-dealer's registration with the state every two years. The Termination Affidavit is used to terminate a broker-dealer's registration with the state.

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