Department Of Revenue And Taxation
Blue Sky
Securities
Last updated:
Securities Broker-Dealer Registration Checklist {FCN155I}
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Description
SECURITIES BROKER-DEALER REGISTRATION CHECKLIST 1) REGISTRATION APPLICATION (FCN 2-2-154) 2) CONSENT TO SERVICE OF PROCESS 3) FOCUS REPORT or AUDITED FINANCIAL STATEMENT 4) FORM BD and all schedules of FORM BD 5) TAX CLEARANCES Please refer to your Guam Licensed Attorney for your Tax Clearance. 6) FILING FEE OF $25.00 7) NOTICE OF INTENTION TO SELL SECURITIES 8) FOREIGN CORPORATION CERTIFICATE (NEW CORPORATION APPLICATION) ISBR USE ONLY RECEIPT NUMBER: REGISTRATION NUMBER: DATE: TERM: American LegalNet, Inc. www.USCourtForms.com
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