Initial Broker Dealer Application
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Initial Broker Dealer Application Form. This is a District Of Columbia form and can be use in Blue Sky Secretary Of State.
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Tags: Initial Broker Dealer Application, IBDA, District Of Columbia Secretary Of State, Blue Sky
Government of the District of Columbia
Department of Insurance, Securities and Banking
Lawrence H. Mirel
Commissioner
LICENSING:
In addition to filing your application for licensing for the District of
Columbia with the National Association of Securities Dealers Regulations,
Inc. (NASDR) Central Registration Depository (CRD) system, the following
items must be filed directly with the Department of Insurance and
Securities Regulation, Securities Bureau.
Initial Broker/Dealer Application
1.
Applicants must submit a notarized Statement of Financial
Condition. This statement may be unaudited, but if so, must be
certified by an appropriate person within the firm.
The
Statement should include a Balance Sheet, Income Statement
and Net Capital Computation prepared within thirty days of the
date of filing. (A copy of the FOCUS Report is accepted).
2.
Applicant must submit the ''Transaction Certification form."
3.
Applicant must submit the District of Columbia ''Clean Hands''
form.
4.
A copy of any Subordination Agreement(s) if firm relies on it in
meeting its net capital requirement.
5.
If the applicant has been in the securities business six (6)
months or less from the date of filing the application, submit a
copy of the firm's bank statement which coincides with dates of
the Statement of Financial Condition.
6.
Applicants must have at least one registered agent in the
District of Columbia. Please submit a copy of the U-4 for at
least one of the agents you plan to register.
810 First Street, NE, 6 th
Floor•Washington, DC•20002•Tel: (202) 442-4934•Fax: (202) 442-8661
maurice.goff@dc.gov
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