BD- West Virginia Broker-Dealer Uniform Surety Bond Form U-SB

The WV Broker-Dealer Uniform Surety Bond Form U-SB is a representation that a broker-dealer must be authorized to transact business and complies with state and federal laws pursuant to the West Virginia Securities Act. Misuse or inappropriate handling of client funds may result in a claim on the surety bond.  Members also downloaded West Virginia Broker-Dealer and Agent Registration Requirements.

Version/Update: V.U/06/2020

Total Page Count/Format: 4/.pdf

Source/Author(s): West Virginia State Auditor’s Office Securities Division