BD- Broker-Dealer Certification of No Securities Sales
BD- Broker-Dealer Certification of No Securities Sales
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The Broker-Dealer Certification of No Sale is a useful tool for confirming compliance with applicable state securities laws by refraining from transacting a securities business as a broker-dealer in the applicable state until both the broker-dealer and its agent(s) thereof are duly registered. The Certification is often used when applying for broker-dealer state registrations where such certifications are required as well as regulatory inquiries involving securities sales.
Version/Update: V.1/December 2, 2017
Total Page Count: 1
Source/Author(s): Connexien