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Broker Dealer Application - Indiana

Broker Dealer Application Form. This is a Indiana form and can be used in Securities Blue Sky Secretary Of State .
 Fillable pdf Last Modified 5/25/2007
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REQUIREMENTS FOR BROK ER-DEALER REGISTRATION I. FILING REQUIREMENTS-CRD A. Broker-Dealer applications are filed with CRD, Filing fee of $250.00 is submitted to the CRD with Form BD. B. Agent Registration. NASD members register all agents through the CRD System. The agenfilingt fee is $25.00 per agent and is submitted to the CRD With the form U-4. C. ALL AMENDMENTS TO FORM BD ARE TO BE FILED WITH CRD. D. Branch Offices. The opening, relocation cor losing of branch offices is done through The CRD on Schedule E. If there are any branch officesin Indiana , there must be at least on OSJ in Indiana. II. FILING REQUIREMENTS-STATE A. Please complete the attached cover sheet and return it to the Indiana Securities Division along with the requested documents. B. Indiana requires that you register two principals in Indiana. Principals need to Have passed a principals exam (i.e. Series 4, 24, 26, 27, 39, 53, 54, or 8 etc.) C. Branch Managers. Indiana Branch Managers must pass a principals examination or The Series 8 exam for General Securities Sales Supervisors. D. A copy of the firms most recent audited financial statement and most recent Focus I Or II. Report must be sent to the Inda Secuianrities Division along with the attached Cover letter. E. A Certificate of Authority ofa Fo reign Corporation to Transact Business in Indiana is Required only if applicant intends to have an agenlivt ing in the State of Indiana or if It maintains a branch office in Indiana. If you have any questions about how to Obtain a Certificate of Authority of Foreign Corporation to Transact Business in Indiana, please call the Business Service Division at (317)232-6576. F. Indiana has 30 days to review your completed application for registration before your Registration becomes effective. This 30-day period will not begin until all materials Requested by Indiana arrecee ived by Indiana. <<<<<<<<<********>>>>>>>>>>>>> 2 REQUIRED EXAMS: * Broker-Dealer Principals and Branch Managers (General): NASD Series 4, 8 (branch manager only), 24, 27, 53 or 54. * Broker-Dealer Principals and Branch Manag ers (Restricted) (Firm Restricted to Business in Subject Area of Examination): NASD Series 26 (Investment Company/ Variable Contracts), NASD Series 39 (Diret Participc ation Programs), NASD Series 4 (Registered Options). * Broker-Dealer Agents (General): NASD Series 7 and NASD Series 63 or 66. * Broker-Dealer Agents (Restricted ): NASD Series 6 (Investment Company/Variable Contracts), NASD Series 22 (Direct Paiciprt ation Programs), NASD Series 62 (Corporate Securities), NASD Series Securities), and the NASD Series 63 or 66. Questions regarding audited financials and FOCUS I and II contact Doreen Fuery, Chief Account and, (317)232-0737. Questions regarding branch offices or exams contact Karen Jackson, Broker-Dealer Registration Deputy, (317)232 -6690. <<<<<<<<<********>>>>>>>>>>>>> 3 This cover sheet should be completed in full and returned, along with the requested documents, to the Indiana Securities Division so that your firms broker-dealer application may be processed. Please type All information. 1. Name of Firm________________________________________________________ Contact Person_______________________________________________________ Address of firm_______________________________________________________ Telephone # ( )___________________________ Fax #( )____________________ CRD Number of firm _____________________ Have you filed with the CRD to request registration in Indiana?_________________ Have you filed with the CRD to request registration in Indiana for all agents you wish to register in Indiana?____________________________________________________ 2. Name of first principal____________________________________________________________ CRD number of first principal______________________________________________________ Name of second principal__________________________________________________________ CRD of second principal __________________________________________________________ 3. Does firm intend on having a branch office or agent living in Indiana? Yes___ No___ If so, please Attach a copy of the Certificate of Authority of a Foreign Corporation to Transact Business in Indiana. 4. What is the firms fiscal year end?______________________________________________________ PLEASE ATTACH THE FOLLOWI NG DOCUMENTS TO THIS COVER SHEET AND RETURN TO THE INDIANA SECURITIES DIVISION: The firms most recent audited financial statement. The firms most recent FOCUS Report. If the firms most recent FOCUS Report and Audited Financials are over 60 days old, please include an unaudited balance sheet. If the firm intends on having a branch office or agent living in Indiana, please attach a copy of the Certificate of Authority of a Foreign Corporation to Transact Business in Indiana. INDIANA B ROKER-DEALER COVER SHEET
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