Dealer Questionnaire And Affidavit Prior Sales {COM 4523}

DEALER QUESTIONAIRE AND AFFIDAVIT: PRIOR SALES. This form issued by the Ohio Division of Securities, is a compliance form used by securities dealers applying for registration in the state. The authorized signatory must certify whether the dealer has engaged in any securities transactions in Ohio during the past 60 months. If no transactions occurred, they confirm that fact; if exempt transactions occurred, they must be listed along with the exemptions relied upon; and if non-exempt transactions occurred, detailed information must be provided, including client details, the security traded, trade amount, commissions, and the agent involved. The form must be notarized and serves as a sworn affidavit. By signing, the dealer agrees not to conduct business in Ohio until registration is complete and acknowledges that providing false information or transacting business without proper registration may result in legal sanctions. www.FormsWorkflow.com