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How to fill out the FORM 33-109F4 REGISTRATION OF INDIVIDUALS AND REVIEW OF PERMITTED INDIVIDUALS online
Filling out the FORM 33-109F4 is a crucial step for individuals seeking registration or review as permitted individuals in the securities industry. This guide provides clear, step-by-step instructions to help users complete the form accurately and efficiently online, ensuring compliance with required regulations.
Follow the steps to complete the registration form online:
- Press the ‘Get Form’ button to acquire the form and open it in your online editor.
- Begin with Item 1, enter your legal name as it appears on official documents.
- In Item 2, provide your current and previous residential addresses for the past 10 years.
- Complete Item 3 with your personal information such as date and place of birth, gender, eye color, hair color, height, and weight.
- For Item 4, specify your country of citizenship, and if applicable, provide details about your passport.
- Under Item 5, indicate whether you are filing under the passport system and check the jurisdictions where you seek registration.
- For Item 6, review individual categories and select the relevant categories for which you are seeking registration or review.
- In Item 7, fill in your address for service and, if applicable, the agent for service.
- Complete Item 8, detailing any courses or examinations you have completed or exempted from.
- Proceed to Item 9 to provide employment information about your sponsoring firm.
- Items 10 through 15 require information about your current and past employment, regulatory disclosures, criminal and civil actions.
- Finally, review all sections for accuracy, complete any schedules required for your situation, and submit the form.
Start your registration process by completing the FORM 33-109F4 online today!
Section 4 of the Securities Act of 1933 outlines the exemptions from the registration requirements for certain transactions. This section is significant because it allows specific offerings, such as private placements, to be conducted without needing the extensive disclosures required for registered securities. Understanding this section can help businesses leverage opportunities in capital raising. For assistance with related filings, consider the services offered by USLegalForms.
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