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Get Ny Form M 3
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How to fill out the Ny Form M 3 online
Completing the Ny Form M 3 is essential for filing changes related to securities and investment activities in New York. This guide offers clear step-by-step instructions to help you fill out the form accurately and confidently.
Follow the steps to successfully complete the Ny Form M 3 online.
- Click 'Get Form' button to obtain the form and open it in your preferred editor.
- Enter your NYS File Number or CRD Number, which can be found on the fee receipt from your original filing, in the designated field.
- Fill in the Broker/Dealer Firm Name and provide the Principal Office Address, including city, state, and zip code.
- Indicate changes occurring within the last 30 days. You can file them all on one M-3 form for a fee of $30.
- For changes concerning new salespersons, list each salesperson's name, address, and date of hire. Attach the Salesperson Statement (M-2 or U4) for each new employee.
- If applicable, provide details of any terminated salespersons including their name, social security number, date, and reason for termination.
- Document any changes to the firm's name, address, or branch office address, specifying the previous and new details and the change date.
- Report any criminal offenses involving securities or commodities, attaching copies of pertinent documents if applicable.
- If applicable, indicate the date for termination or withdrawal of dealership and provide the reason.
- For changes in officers, directors, or other principals, provide required personal information for each individual, including name, address, prior home addresses, and nature of change.
- Answer all questions regarding the criminal history and professional conduct of officers, and provide additional statements if necessary.
- Finally, review the form for accuracy, sign, and date it. You can then save changes, download, print, or share the completed form as needed.
Complete your Ny Form M 3 online today for efficient handling of your investment documentation.
The mailing address for your NY Form IT-370 depends on whether you are including payment or not. If there is no payment, send it to the address provided on the form’s instructions. If you are making a payment, use the other specified address. To streamline your filing process, explore the resources available on US Legal Forms where you can find all necessary details about NY Form M 3.
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