Form R-5 - Resolution, Broker-Dealer Questionnaire And Affidavit: Prior Sales

COMISIONADO DE INSTITUCIONES FINANCIERAS

ESTADO LIBRE ASOCIADO DE PUERTO RICO

MEMORANDUM

To:

Broker-Dealers

From:

Securities Division

Subject:

Registration Requirements

Forms that should be on file with the NASD

1- Form BD electronically.

2- Financial Statements, including net capital computation dated no more

than ninety (90) days prior to filing date. Every broker-dealer must

maintain a minimum net capital as designated in Rule 15c3-11 for the

activities of the broker-dealer.

3- One (1) copy of all currently effective subordinated agreements

4- One (1) copy of Articles of Incorporation, all amendments and By-

Laws, Partnership Agreement, Articles of Formation, as applicable

5- Copy of the Clearing Agreement

Fees that should be forwarded to the NASD

1- Filing Fees

a. $500 for broker-dealer registration

B. $150 for each broker-dealer representative registration

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