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  • Form 33-109f4 Registration Of Individuals And Review Of Permitted Individuals (section 2.2). Form

Get Form 33-109f4 Registration Of Individuals And Review Of Permitted Individuals (section 2.2). Form

Form 33109F4 Registration of Individuals and Review of Permitted Individuals (section 2.2) GENERAL INSTRUCTIONS Complete and submit this form to the relevant regulator(s) or in Qubec, the securities.

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How to fill out the Form 33-109F4 Registration Of Individuals And Review Of Permitted Individuals (section 2.2) online

This guide provides a comprehensive approach to completing the Form 33-109F4, which is essential for individuals seeking registration or review as permitted individuals. The following steps will help you navigate through each section of the form online with ease.

Follow the steps to complete the form accurately.

  1. Click the ‘Get Form’ button to acquire the form and access it in the editor.
  2. Begin by entering your legal name in the designated fields. Include your last name, first name, and any applicable middle names. If you have an NRD number, input it in the provided space.
  3. Indicate whether you have ever been known by other names. If 'Yes', complete Schedule A with the details of these names.
  4. Provide all your residential addresses for the past 10 years. If less than 10 years, include additional addresses in Schedule B.
  5. Input your mailing address. If it is the same as your residential address, check the proper box.
  6. Fill in your business email address, date of birth, place of birth, gender, eye color, hair color, height, and weight.
  7. State your citizenship. If you are a citizen of a country besides Canada, provide the required additional information.
  8. Select if you are filing under the passport system for registration. Check the appropriate jurisdictions where you seek registration or review as a permitted individual.
  9. On Schedule C, check each category for which you are seeking registration or review.
  10. Complete the address and agent for service section. Ensure this address is not a post office box.
  11. On Schedule E, document your course, examination, and designation information pertinent to your registration.
  12. List any current and past employment along with other business activities on Schedule G.
  13. Respond to any inquiries about resignations, terminations, regulatory disclosures, criminal disclosures, and civil disclosures as instructed in the respective sections.
  14. Review all provided information for accuracy and completeness before submitting the form.
  15. Once completed, save your changes. You can opt to download, print, or share the form as needed.

Complete your Form 33-109F4 online and ensure your registration application is processed without delays.

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Authorizing SRO means each of the authorizing self-regulatory organizations (i.e., each CTA Plan Participant, each CQ Plan Participant and NYSE).

A typical SRO room consists of one room of about 10 x 10 feet with shared bathrooms and minimal or no cooking facilities. Public SROs are owned and operated by a government or non-profit agency. Private SROs are owned by a private owner and may be privately operated or operated by a non-profit. Social Enterprise.

A Self-Regulatory Organization / SRO as a condition of membership requires that its members adhere to strict rules of conduct set forth by the organization. Members of the Self-Regulatory Organization also must agree to be regulated by the organization and to accept its rules and findings in cases of violations.

“Approved person” means, in respect of a member (Member) of the Investment Industry Regulatory Organization of Canada (IIROC), an individual who is a partner, director, officer, employee or agent of a Member who is approved by IIROC or another Canadian SRO to perform any function required under any IIROC or other ...

Examples of Self-Regulatory Organizations The New York Stock Exchange (NYSE) The Financial Planning Association (FPA) Chicago Board of Trade (CBOT) American Council of Life Insurers (ACLI) Financial Industry Regulatory Authority, Inc. ... Fixed Income Clearing Corporation (FICC) Options Clearing Corporation (OCC)

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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
Privacy Notice
Legal Hub
Content Takedown Policy
Bug Bounty Program
About Us
Blog
Affiliates
Contact Us
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 WorkFlow
DocHub
Instapage
Social Media
Call us now toll free:
+1 833 426 79 33
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