How to Become Registered as a Non-FINRA Securities Broker-Dealer
Submit the following:
- A Form
BD originally signed, dated and notarized by both the applicant and a
notary with item 2 completed for
- A cashier's check or money order made payable to the State of
for the $300.00 filing fee.
- A copy of the written supervisory procedures to be used by the proposed broker-dealer.
- A current accrual balance sheet and net capital computation. The balance sheet should be no older than 45 days and must be signed as to the accuracy by an officer or director of the firm.
- A copy of the firm's most recent audited financial statement. If the firm does not have an audited financial statement for its latest fiscal yearend, please explain the reason in writing. Failure to submit the financial statements within 90 days will result in withdrawal of the application.
Office of Financial and Insurance Regulation,
P.O. Box 30220