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Staple applicant's 2 x 2 current color ID picture with signature and printed name at the back. APPLICANT'S/ BROKER DEALER'S NAME: DATE: Firm T.I.N SEC FORM 28-S/28-AMD APPLICATION FOR REGISTRATION.

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The Form also is used by applicants to register as broker- dealers with certain self-regulatory organizations and all of the states. The Commission and the Financial Industry Regulatory Authority, Inc. maintain the files of the information on this Form and will make the information publicly available.

The Act defines an "associated person" of a broker-dealer as any partner, officer, director, branch manager, or employee of the broker-dealer, any person performing similar functions, or any person controlling, controlled by, or under common control with, the broker-dealer.

The official GIS form is available for downloading at the SEC website (.sec.gov.ph) or from any of the Commission's offices. This Circular shall take effect fifteen (15) days after its publication in a newspaper of general circulation and at the SEC website.

Forms 3, 4, and 5 are publicly available through the SEC's EDGAR database at .sec.gov/ edgar/searchedgar/webusers. htm. In addition to the SEC's EDGAR database, there also are many third-party websites that offer insider ownership and transaction information.

Yes, SEC filings are public information and can be retrieved for free via the EDGAR system online. Companies may also host their own copies on their corporate websites and would be available from their investor relations department.

The EDGAR database provides free public access to corporate information, allowing you to research a public company's financial information and operations by reviewing the filings the company makes with the SEC.

Public comment letters relating to SEC rulemaking and regulatory actions are found in the Regulatory Actions section of the SEC's Web site.

SEC Form 424B4 is the prospectus form that a company must file to disclose information they refer to in SEC Forms 424B1 and 424B3. Rule 424(b)(4) of the Securities Act of 1933 stipulates this.

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© Copyright 1997-2025
airSlate Legal Forms, Inc.
3720 Flowood Dr, Flowood, Mississippi 39232
Form Packages
Adoption
Bankruptcy
Contractors
Divorce
Home Sales
Employment
Identity Theft
Incorporation
Landlord Tenant
Living Trust
Name Change
Personal Planning
Small Business
Wills & Estates
Packages A-Z
Form Categories
Affidavits
Bankruptcy
Bill of Sale
Corporate - LLC
Divorce
Employment
Identity Theft
Internet Technology
Landlord Tenant
Living Wills
Name Change
Power of Attorney
Real Estate
Small Estates
Wills
All Forms
Forms A-Z
Form Library
Customer Service
Terms of Service
DMCA Policy
About Us
Blog
Affiliates
Contact Us
Privacy Notice
Delete My Account
Site Map
Industries
Forms in Spanish
Localized Forms
State-specific Forms
Forms Kit
Legal Guides
Real Estate Handbook
All Guides
Prepared for You
Notarize
Incorporation services
Our Customers
For Consumers
For Small Business
For Attorneys
Our Sites
US Legal Forms
USLegal
FormsPass
pdfFiller
signNow
airSlate workflows
DocHub
Instapage
Social Media
Call us now toll free:
1-877-389-0141
As seen in:
  • USA Today logo picture
  • CBC News logo picture
  • LA Times logo picture
  • The Washington Post logo picture
  • AP logo picture
  • Forbes logo picture
© Copyright 1997-2025
airSlate Legal Forms, Inc.
3720 Flowood Dr, Flowood, Mississippi 39232