Broker Dealer Change Headquarters
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Change of Location FINRA.org
- https://www.finra.org/rules-guidance/rulebooks/corporate-organization/change-location
- Sec. 2. In the manner permitted by law, the Board or the registered agent may change the address of the Corporation's registered office in the State of Delaware and the Board may make, revoke, or change the designation of the registered agent. Amended by SR-NASD-2007-023 eff. July 30, 2007. Adopted by SR-NASD-97-71 eff. Jan. 15, 1998.
SEC.gov Staff Guidance for Filing Broker-Dealer Notices ...
- https://www.sec.gov/divisions/marketreg/bdnotices.htm
- Oct 12, 2017 · Rule 17a-5 (f) (2) statements regarding the independent public accountant. File the statements required by this rule with: (1) the Commission’s headquarters; (2) the Commission’s office for the region in which the broker-dealer’s principal place of business is located; and (3) the principal office of the broker-dealer’s DEA. The filing with the Commission’s headquarters may be made by fax to …
To Make a Broker-Dealer change or to not make a Broker ...
- https://www.trustedvisions.com/to-make-a-broker-dealer-change-or-to-not-make-a-broker-dealer-change/
- Sep 15, 2019 · September 15, 2019: To make a broker-dealer change or not to make a broker-change? Throughout my career in Business Development with different broker-dealers, I have always started off a conversation with a financial advisor by asking what they were happy about with their current broker-dealer and what has caused them to begin looking at other broker-dealer options.Estimated Reading Time: 4 mins
SEC charges broker-dealers, investment advisors over ...
- https://news.yahoo.com/sec-charges-broker-dealers-investment-171644860.html
- Aug 30, 2021 · The SEC charged KMS Financial Services, five units of financial firm Cetera, and two units of Cambridge Investment Research for failures to adopt and implement cybersecurity policies and procedures that resulted in email account takeovers exposing the personal information of thousands of customers and clients at each firm. Cetera, Cambridge and KMS did not respond immediately to …
Contact us DWS
- https://www.dws.com/en-us/about-us/contact-us/
- Intent, Dealer Changes, Selling Group Agreements DWS Service Company Attn: Broker Back Office Operations P.O. Box 219151 Kansas City, MO: 64121-9151
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