Tennessee Amendment of terms of Class B preferred stock
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How to fill out Amendment Of Terms Of Class B Preferred Stock?
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FAQ
The Form also is used by applicants to register as broker- dealers with certain self-regulatory organizations and all of the states. The Commission and the Financial Industry Regulatory Authority, Inc. maintain the files of the information on this Form and will make the information publicly available.
Firms are able to file full or partial withdrawals of registration by submitting Form BDW, the Uniform Request for Broker-Dealer Withdrawal.
The Form U4 is the Uniform Application for Securities Industry Registration or Transfer. Representatives of broker-dealers, investment advisers, or issuers of securities must use this form to become registered in the appropriate jurisdictions and/or SROs.
The Form BD (Uniform Application for Broker-Dealer Registration) is used to register a broker-dealer with the SEC, SROs and jurisdictions. Firms can create and submit Form BD Amendment filings elec- tronically through Web CRD.
To amend information, the applicant must update the appropriate Form BD screens. d. A paper copy, with original signatures, of the initial Form BD filing and amendments to Disclosure Reporting Pages (DRPs (BD)) must be retained by the applicant and be made available for inspection upon a regulatory request.