What do I file with Secretary of State, Securities Division, to become a registered broker dealer?

Published 08/12/2009 12:19 PM   |    Updated 04/11/2011 09:36 AM
What do I file with Secretary of State, Securities Division, to become a registered broker dealer?

* broker dealer application

* audited financials - if this is a new broker dealer, the minimum requirement is an unaudited financial report prepared within the previous 60 days

* FOCUS I or II

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