Get Form 33 109f1

Filling out the Form 33 109f1 is an important process for notifying regulators when a registered individual or permitted individual leaves their sponsoring firm. This guide aims to provide clear, step-by-step instructions to ensure users can complete the form accurately and efficiently.

Follow the steps to complete the Form 33 109f1 online.

1. Click ‘Get Form’ button to obtain the form and open it in the editor.
2. Begin with Item 1: Terminating firm. Enter the name of the terminating firm in the first field and their NRD number in the second field.
3. Proceed to Item 2: Terminated individual. Fill in the name of the terminated individual and their NRD number.
4. In Item 3: Business location of the terminated individual, provide the individual’s address and NRD number.
5. Move to Item 4: Date and reason for termination. Enter the cessation date using the format YYYY/MM/DD and select the reason for termination by checking the appropriate option.
6. Complete Item 5 by providing additional details about the termination. This section is crucial unless the individual is deceased. State the reasons for the cessation and answer the questions regarding potential issues in the past 12 months.
7. Review the certification section. For NRD format, check the certification box, confirming the accuracy of the information. If using a different format, ensure all required details, including the name and title of the authorized representative, are signed and dated.
8. After completing all items, save your changes. You can then download, print, or share the form as needed to complete your submission process.

Complete your Form 33 109f1 online for a smooth filing experience.