Form M-1 Broker-Dealer Statement - New York

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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.