Broker Dealer Affidavit {SBD-1}

FORM SBD-1 - MISSOURI BROKER-DEALER AFFIDAVIT. This form is used by broker-dealer applicants in the state of Missouri to confirm specific compliance details during the registration or renewal process. The form must be completed by a principal of the applicant company and includes declarations regarding the broker-dealer’s activity in Missouri. The principal must attest whether or not the firm has made offers or sales of securities within the state, disclosing detailed information if such transactions have occurred. It also requires affirmation that all owners, control persons, and affiliates are fully disclosed on the applicant's Form BD, as well as confirmation that all required disciplinary matters have been reported. Any omissions must be clearly identified and explained. This affidavit is signed under oath and must be notarized to ensure the truthfulness and accountability of the information provided. www.FormsWorkflow.com