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Get Instructions 9 2011 Form 2011

1940. The introducing broker is a broker-dealer that is regulated by the SEC and the National Association of Securities Dealers, Inc., and that is not a payer. Except for a broker who acts as a payee s agent for readily tradable instruments, the advisor or broker must show in writing to the payer that the payee authorized the advisor or broker to transmit the Form W-9 to the payer. Electronic system. Generally, the electronic system must: Ensure the information received is the infor.

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