Get Sec1490 2008-2026

The SEC1490 form is the Uniform Application for Broker-Dealer Registration, which is essential for broker-dealers aiming to register with the Securities and Exchange Commission. This guide provides a step-by-step approach to filling out the form online, ensuring your submission is accurate and complete.

Follow the steps to fill out the SEC1490 online effectively

1. Click the ‘Get Form’ button to access the SEC1490 form and open it in your browser.
2. Begin with the execution page where you must provide the official name of the broker-dealer, its main office address, and contact details. Ensure that every field is filled in accurately.
3. In section 2, indicate the jurisdictions where the broker-dealer is applying for registration by checking the appropriate boxes. Include full registration details under each jurisdiction.
4. For section 3, identify the legal status of the applicant: Corporation, Partnership, Limited Liability Company, etc., and provide the corporation's date of formation and state.
5. Proceed to the section where you need to disclose any past regulatory actions against the applicant, including criminal disclosures, regulatory disclosures, and civil judicial matters. This includes answering yes or no to any pertinent questions.
6. Verify if there are any disclosures related to unsatisfied judgments or liens against the applicant and report them accordingly.
7. Fill out the schedules A, B, and D as required, providing detailed information about direct and indirect owners, as well as any additional business activity that may affect the application.
8. Once all sections are completed, review the entire form for accuracy and completeness. Save your changes.
9. You can now download, print, or share the completed SEC1490 form as needed.

Complete your SEC1490 application online today to ensure compliance with the SEC regulations.