BD- Ohio Broker-Dealer Questionnaire and Affidavit Form

The OH Broker-Dealer Questionnaire and Affidavit Form is an updated representation that the broker-dealer applicant has not transacted any business in the State of Ohio over the previous 60 months and will not transact business until registered with the State of Ohio.  Members also downloaded Ohio FINRA Broker-Dealer Registration Requirements or Ohio Non-FINRA Broker-Dealer Registration Requirements.

Version/Update: COM 4523/03/20/2019

Total Page Count/Format: 1/.pdf

Source/Author(s):  OH Division of Securities