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  • Form 33-109f2.doc - Bcsc Bc

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Form 33109F2 Change or Surrender of Individual Categories Enter the following information using the online version of this submission at the NRD web site (www.nrd.ca). If the NRD filer is relying.

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How to use or fill out the Form 33-109F2.DOC - Bcsc Bc online

Filling out the Form 33-109F2.DOC - Bcsc Bc online is an essential process for individuals changing or surrendering their registration categories. This guide will provide clear, step-by-step instructions to help users complete the form accurately and efficiently.

Follow the steps to fill out the form online:

  1. Press the ‘Get Form’ button to retrieve the form and open it in the online editor.
  2. In the first section, labeled ‘Individual’, provide the name of the individual and their NRD number.
  3. Navigate to the ‘Individual categories’ section. Indicate which categories the individual is adding or removing by selecting the appropriate options.
  4. In the ‘Details of surrender’ section, include relevant information if the individual is surrendering registration, such as unresolved client complaints, internal discipline matters, restrictions from violations, and any financial obligations to clients.
  5. Review the ‘Notice of Collection and Use of Personal Information’ to understand how the submitted personal information will be utilized.
  6. Complete the certification section. If you are submitting on behalf of someone else, confirm that all facts were relayed to you by the individual. Ensure all required certifications are checked.
  7. Finally, save your changes; options will be available to download, print, or share the completed form.

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An accredited investor includes: financial institutions. registered advisers or dealers. pension funds. corporations, limited partnerships, trusts or estates having net assets of at least $5 million.

The British Columbia Securities Commission creates and enforces rules to keep the investment marketplace fair, honest and resilient, and adapts those rules in response to new risks, new investment products and new business models.

Under the federal securities laws, every offer and sale of securities, even if to just one person, must be either registered with the SEC or conducted under an exemption from registration.

An individual or firm that wants to register must file an application form. Under National Instrument 33-109 Registration Requirements and National Instrument 31-102 National Registration Database, individuals file the individual application form, Form 33-109F4, on the National Registration Database or NRD.

Registration Requirement: Every person who is in the business of trading (selling) securities, or in the business of advising another person on the purchase or sale of securities, must be registered with the BCSC. If a person is registered, then they must comply with certain obligations.

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