Application By Notification For Broker Dealer Certificate {DFPI-260.211.1}

DFPI–260.211.1 - APPLICATION BY NOTIFICATION FOR BROKER DEALER CERTIFICATE (Only for Use in Connection with Applications and Amendments to Applications for Broker-Dealer Certificate Pursuant to Section 25211(b), Corporations Code (Application by Notification), and Section 260.241.4, Title 10, California Code of Regulations.). This form is used for applications and amendments related to the Broker-Dealer Certificate under California's Corporations Code Section 25211(b). This form is filed with the Department of Financial Protection and Innovation for broker-dealers wishing to operate in California. It includes the submission of key information about the broker-dealer, such as their name, principal office address, and the name of an officer or partner responsible for compliance and communications. The form also requires various declarations, such as confirmation that the broker-dealer holds an active registration under the Securities Exchange Act of 1934 and is a member in good standing with self-regulatory organizations like FINRA or the NYSE. The applicant must submit supporting documents, including a completed Form BD (Uniform Application for Broker-Dealer Registration) and a customer authorization form for financial records disclosure. The form also requests details about the applicant’s net capital requirements and fiscal year end. A $300 fee is required for submission. www.FormsWorkflow.com