Form S.A.2 "Application for Renewal of a Broker-Dealer's Registration" - Virginia

What Is Form S.A.2?

This is a legal form that was released by the Virginia State Corporation Commission - a government authority operating within Virginia. As of today, no separate filing guidelines for the form are provided by the issuing department.

Form Details:

  • Released on July 1, 1999;
  • The latest edition provided by the Virginia State Corporation Commission;
  • 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 printable version of Form S.A.2 by clicking the link below or browse more documents and templates provided by the Virginia State Corporation Commission.

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Download Form S.A.2 "Application for Renewal of a Broker-Dealer's Registration" - Virginia

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S.A.2
(Rev. 7/99)
COMMONWEALTH OF VIRGINIA
STATE CORPORATION COMMISSION
DIVISION OF SECURITIES AND RETAIL FRANCHISING
APPLICATION FOR RENEWAL OF A BROKER-DEALER'S REGISTRATION
1.
Name of Applicant:_________________________________________________________.
2.
Principal Address of Applicant: ________________________________________________.
3.
Attach the most current audited financial statements of the broker-dealer prepared and
certified by an independent certified public accountant (if they have not been previously
submitted). If the statements are not dated within 120 days of the filing of the application,
financial statements attested to by an officer of the firm or the latest quarterly FOCUS
report must also be submitted. The financial statements or FOCUS report must be dated
within the 120 day period. The financial statements should include all reports, schedules
and statements defined in 21 VAC 5-20-30 B 2.
4.
During the last twelve months, has there been any change in the organization or policy of
the applicant, including form of organization, officers, partners, managers, business
address, changes which would cause affirmative answers to any part of question 10 of form
BD, etc.? ____. If we have not had prior notification of such change(s), attach appropriate
amended page(s) to form BD.
5.
The application must be accompanied by a fee of $200 payable to the Treasurer of Virginia.
If the renewal is not granted, the fee is not refundable.
______________________________________________________
Broker-Dealer
Date
______________________________________________________
By
(Signature)
Title
COMMONWEALTH OF VIRGINIA
_________________OF__________________, to-wit:
_____________________________________, being first duly sworn, deposes
and says:
I have been authorized by the applicant to execute and file the foregoing application. I have
read the application and exhibits filed with it, and the facts stated in the application and in
the exhibits are true to the best of my knowledge, information and belief.
_________________________________________________________
Affiant
Subscribed and sworn to before me this
_________ day of ___________ _____.
_________________________________________________________
Notary Public
My commission expires: ______________________________ (SEAL)
NOTE:
NON-NASD MEMBER FIRMS SHOULD ALSO ATTACH TO THIS APPLICATION S.D.4.A
AND, IF APPLICABLE, S.D.4.B AND S.D.4.C. A $30 FEE FOR EACH AGENT LISTED ON FORM
S.D.4.A AND A $200 RENEWAL FEE FOR THE FIRM SHOULD BE INCORPORATED INTO ONE
CHECK, PAYABLE TO THE TREASURER OF VIRGINIA.
S.A.2
(Rev. 7/99)
COMMONWEALTH OF VIRGINIA
STATE CORPORATION COMMISSION
DIVISION OF SECURITIES AND RETAIL FRANCHISING
APPLICATION FOR RENEWAL OF A BROKER-DEALER'S REGISTRATION
1.
Name of Applicant:_________________________________________________________.
2.
Principal Address of Applicant: ________________________________________________.
3.
Attach the most current audited financial statements of the broker-dealer prepared and
certified by an independent certified public accountant (if they have not been previously
submitted). If the statements are not dated within 120 days of the filing of the application,
financial statements attested to by an officer of the firm or the latest quarterly FOCUS
report must also be submitted. The financial statements or FOCUS report must be dated
within the 120 day period. The financial statements should include all reports, schedules
and statements defined in 21 VAC 5-20-30 B 2.
4.
During the last twelve months, has there been any change in the organization or policy of
the applicant, including form of organization, officers, partners, managers, business
address, changes which would cause affirmative answers to any part of question 10 of form
BD, etc.? ____. If we have not had prior notification of such change(s), attach appropriate
amended page(s) to form BD.
5.
The application must be accompanied by a fee of $200 payable to the Treasurer of Virginia.
If the renewal is not granted, the fee is not refundable.
______________________________________________________
Broker-Dealer
Date
______________________________________________________
By
(Signature)
Title
COMMONWEALTH OF VIRGINIA
_________________OF__________________, to-wit:
_____________________________________, being first duly sworn, deposes
and says:
I have been authorized by the applicant to execute and file the foregoing application. I have
read the application and exhibits filed with it, and the facts stated in the application and in
the exhibits are true to the best of my knowledge, information and belief.
_________________________________________________________
Affiant
Subscribed and sworn to before me this
_________ day of ___________ _____.
_________________________________________________________
Notary Public
My commission expires: ______________________________ (SEAL)
NOTE:
NON-NASD MEMBER FIRMS SHOULD ALSO ATTACH TO THIS APPLICATION S.D.4.A
AND, IF APPLICABLE, S.D.4.B AND S.D.4.C. A $30 FEE FOR EACH AGENT LISTED ON FORM
S.D.4.A AND A $200 RENEWAL FEE FOR THE FIRM SHOULD BE INCORPORATED INTO ONE
CHECK, PAYABLE TO THE TREASURER OF VIRGINIA.