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Waiver Eligibility Certification For Filing Of Financial Reports By Connecticut Registered Broker Dealers - Connecticut
| Waiver Eligibility Certification For Filing Of Financial Reports By Connecticut Registered Broker Dealers Form. This is a Connecticut form and can be used in Securities Blue Sky Secretary Of State . |
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WAI VER ELI GIBILI TY CERTIF ICATIO N FOR FILI NG OF FINANCIAL REPO RTS BY CONNECTI CUT- R EGI STERED B R OKER- DEALERS The undersigned broker-dealer (hereinafter, "Registrant"), being duly registered under Chapter 672a of the Connecticut General Statutes, the Connecticut Uniform Securities Act (the "Act"), elects to satisfy Connecticut financial reporting requirements by making its annual filing with the National Association of Securities Dealers, Inc. pursuant to Section 36b-31-14c(b) of the Regulations under the Act. Accordingly, Registrant certifies and undertakes under penalty of false statement as follows: 1.Registrant is and continues to be a member of a self-regulatory organization ("SRO") registered under laws administered by the United States Securities and Exchange Commission; 2. Registrant files annual audited financial reports with the SRO of which it is a member; 3.Registrant is current in filing with such SRO all required financial reports, including, without limitation, the annual audited financial report referenced in Section 36b-31-14c(a) of the Regulations; 4.Registrant hereby undertakes to provide immediate telegraphic notice to the Commissioner within 24 hours if at any time its net capital becomes less than the minimum prescribed in Section 36b-31-9b(a) of the Regulations under the Act. Registrant understands that it may substitute notice by fax for the telegraphic notice required under this paragraph if a hard copy of such notice is received by the Commissioner the following business day; 5.Registrant hereby undertakes to provide, upon request by the Commissioner, and within 24 hours, any financial reports, statements, supplements and amendments required by Section 36b-31-14c(a) of the Regulations under the Act; 6.Registrant hereby undertakes to immediately notify the Commissioner in writing if there is any change in circumstances supporting its reliance upon this Waiver; 7.Registrant understands that this Waiver does not relieve the Registrant from compliance with other provisions of the Act or the Regulations thereunder, including, without limitation, Section 36b-31-14c(c) of the Regulations; and 8.This election shall remain in effect indefinitely provided that the conditions in Section 36b- 31-14c(b) of the Regulations continue to be met and the Registrant is otherwise in compliance with the Act and the Regulations thereunder. Print Broker-dealer Name ________________________ CRD No. ____________________ Signature of CFO or other authorized individual _____________________________________ Title of Signatory _________________________________ Date: ______________________
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