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Initial Broker Dealer Application IBDA - District Of Columbia

Initial Broker Dealer Application Form. This is a District Of Columbia form and can be used in General Blue Sky Secretary Of State .
 Fillable word Last Modified 9/27/2005
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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 foll owing 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 firms 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. th 810 First Street, NE, 6 FloorWashington, DC20002Tel: (202) 442-4934Fax: (202) 442-8661 maurice.goff@dc.gov American LegalNet, Inc. www.USCourtForms.com
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