Get Sec Form Icm-s

Filling out the SEC Form ICM-S online is a critical step in the application process for registration as a compliance officer in investment companies. This guide provides a clear and concise breakdown of the form's components, ensuring that you can complete it accurately and efficiently.

Follow the steps to complete the SEC Form ICM-S successfully.

1. Press the ‘Get Form’ button to access the SEC Form ICM-S online and open it in your preferred editing software.
2. Begin by entering your company name in the designated field at the top of the form.
3. Fill in the application date and provide the firm’s Tax Identification Number (TIN) in the respective sections.
4. Select whether you are submitting a new application or an amendment by checking the appropriate box.
5. Indicate if you are a first-time registrant, changing your employer, or returning by filling in the dates where applicable and specifying any amendments.
6. Complete your personal information, including your last name, other names known by, date of birth, and personal identifiers such as height and weight.
7. In the employer section, write the name and address of your current employer firm along with the branch ID number.
8. Provide your employment date and Tax Identification Number, followed by your signature. Be sure to indicate your intention to take the certification examination.
9. Fill out the family member information and residential history by listing all addresses for the past five years.
10. Detail your employment history over the past ten years, including all roles held and periods of employment.
11. Declare any other business engagements and address the disciplinary history section by answering all applicable questions thoroughly.
12. Review all filled-out sections for completeness. At the end, you can save changes, download, print, or share the form as needed.

Complete your documents online today for efficient processing!