North Dakota Application For Registration of Agent (Issuer-Dealer) is a document that must be completed by an applicant seeking to become a registered agent in the state of North Dakota. This application serves as a prerequisite for an applicant to be approved for registering securities to be sold in the state of North Dakota. The application includes the following information: applicant's name, address, phone number, email address, entity name, type of business, issuer name, securities to be registered, and any other pertinent information. There are two types of North Dakota Application For Registration of Agent (Issuer-Dealer): the Issuer-Dealer Application and the Dealer-Only Application. The Issuer-Dealer Application is used for applicants who are both an issuer and a dealer, while the Dealer-Only Application is used for applicants who are only a dealer. Both applications require the applicant to provide detailed information about their business, such as the type of securities to be registered, the issuer name, the types of securities sold, and other pertinent information.
North Dakota Application For Registration of Agent (Issuer-Dealer)
Description
How to fill out North Dakota Application For Registration Of Agent (Issuer-Dealer)?
Dealing with official paperwork requires attention, accuracy, and using properly-drafted blanks. US Legal Forms has been helping people countrywide do just that for 25 years, so when you pick your North Dakota Application For Registration of Agent (Issuer-Dealer) template from our service, you can be sure it meets federal and state regulations.
Working with our service is simple and quick. To obtain the necessary document, all you’ll need is an account with a valid subscription. Here’s a quick guideline for you to get your North Dakota Application For Registration of Agent (Issuer-Dealer) within minutes:
- Make sure to carefully examine the form content and its correspondence with general and legal requirements by previewing it or reading its description.
- Look for another official blank if the previously opened one doesn’t suit your situation or state regulations (the tab for that is on the top page corner).
- ​Log in to your account and save the North Dakota Application For Registration of Agent (Issuer-Dealer) in the format you need. If it’s your first experience with our website, click Buy now to proceed.
- Register for an account, choose your subscription plan, and pay with your credit card or PayPal account.
- Choose in what format you want to obtain your form and click Download. Print the blank or upload it to a professional PDF editor to submit it electronically.
All documents are drafted for multi-usage, like the North Dakota Application For Registration of Agent (Issuer-Dealer) you see on this page. If you need them one more time, you can fill them out without re-payment - just open the My Forms tab in your profile and complete your document any time you need it. Try US Legal Forms and accomplish your business and personal paperwork quickly and in full legal compliance!
Form popularity
FAQ
Securities, commodities, and financial services sales agents connect buyers and sellers in financial markets. They sell securities to individuals, advise companies in search of investors, and conduct trades.
Exclusions exist when a person does not meet the legal definition (e.g. a certain person is not legally considered an agent).
(1) ?Agent? means any individual, other than a broker-dealer, who represents a broker-dealer or issuer in effecting or attempting to effect purchases or sales of securities.
S. 551.102(2), defines ?agent? as ?any individual other than a broker-dealer who represents an? issuer in effecting or attempting to effect purchases or sales of the issuer's securities.
The Rule 3a4-1 Safe Harbor The associated person must not be compensated in connection with the sale of the issuer's securities by the payment of commissions or other remuneration based either directly or indirectly on transactions in securities.
Issuers generally are not "brokers" because they sell securities for their own accounts and not for the accounts of others. Moreover, issuers generally are not "dealers" because they do not buy and sell their securities for their own accounts as part of a regular business.