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Form M-1 Broker-Dealer Statement - New York
What Is Form M-1?
This is a legal form that was released by the New York State Attorney General - a government authority operating within New York. As of today, no separate filing guidelines for the form are provided by the issuing department.
FAQ
Q: What is Form M-1?A: Form M-1 is a statement required to be filed by broker-dealers in New York.
Q: What is a broker-dealer?A: A broker-dealer is a person or firm in the business of buying and selling securities.
Q: Who needs to file Form M-1?A: Broker-dealers operating in New York need to file Form M-1.
Q: What information does Form M-1 require?A: Form M-1 requires information about the broker-dealer's business operations, financial condition, and ownership.
Q: When is Form M-1 due?A: Form M-1 is due annually, within 60 days after the end of the broker-dealer's fiscal year.
Form Details:
- Released on May 1, 2018;
- The latest edition provided by the New York State Attorney General;
- Easy to use and ready to print;
- Quick to customize;
- Compatible with most PDF-viewing applications;
- Fill out the form in our online filing application.
Download a fillable version of Form M-1 by clicking the link below or browse more documents and templates provided by the New York State Attorney General.
Download Form M-1 Broker-Dealer Statement - New York
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