BD- Broker-Dealer Certification of No Securities Sales

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