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L Instrument 31-102 National Registration Database, you may submit this form in a format other than NRD format. If you need more space, use a separate sheet of paper. Clearly identify the item and question number. Complete and sign the form, and send it to the relevant regulator(s) or, in Qu bec, the securities regulatory authority, SRO (s) or similar authority. The number of originally signed copies of the form you are required to submit depends on the province or territory, and on the regul.

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Related content

OSC Bulletin - Ontario Securities Commission
by S Act · 2015 — Form 33-109F4, and o a UDP who holds securities of the registered...
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“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 ...

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

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)

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.

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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
DMCA Policy
About Us
Blog
Affiliates
Contact Us
Privacy Notice
Delete My Account
Site Map
All Forms
Search all Forms
Industries
Forms in Spanish
Localized Forms
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 workflows
DocHub
Instapage
Social Media
Call us now toll free:
1-877-389-0141
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