Get Application For Exclusion From Filing Stockbroker ... - Formsend

This guide provides a structured approach to completing the Application For Exclusion From Filing Stockbroker Position Statement. By following the outlined steps, you can ensure accurate and efficient submission of your application online.

Follow the steps to successfully complete your application.

1. Press the 'Get Form' button to obtain the form and open it in your chosen editor.
2. Begin filling out the form by entering your company name in the designated field. Ensure that the name matches your official registration to avoid any discrepancies.
3. Input the dealer file number in the appropriate section. This number is essential for identification and tracking purposes within regulatory frameworks.
4. Provide the company address, including street address, city, state, and ZIP code. Accurate contact details are necessary for correspondence.
5. Select one of the five options that best describes your company’s activities related to securities. Make sure to mark your choice clearly in the designated area.
6. If your company is an introducing dealer, input the clearing firm's name, address, and phone number, along with the city, state, and ZIP code.
7. Identify a contact person for your application. Include their name for any necessary follow-up.
8. If your situation does not fit the provided categories, describe it in the 'Other' section.
9. Review all the information you have entered to ensure accuracy. This step is crucial to ensure all data is correct before submission.
10. Finally, certify the information by including the signature of a company representative, along with their title and the date.
11. Once you have completed all sections, save your changes, and download, print, or share the completed form as needed for your records.

Complete your document submission online today for a smooth filing process.