This form is a due diligence questionnaire that requests information to be used to complete the Registration Statement prior to the Effective Date. The questionnaire should be distributed to each person who is selling securities pursuant to the Registration Statement in business transactions.
Tennessee Comprehensive Selling Stockholder Questionnaire
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State:
Multi-State
Control #:
US-DD06028
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How to fill out Comprehensive Selling Stockholder Questionnaire?
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FAQ
The agent of a broker-dealer is someone who is paid to sell securities on behalf of the broker-dealer. A broker-dealer is an individual or firm in the business of buying and selling securities for its account or its customers.
This Standard Document is a form of Selling Stockholder Questionnaire. This questionnaire can be used in registered secondary offerings of securities to help collect and verify information relating to stockholders selling securities as part of the offering.
Broker-dealer (BD) is defined in Corporations Code (Code) Section 25004 and means any person engaged in the business of effecting transactions in securities in this state for the account of others or for his own account.
A brokerage acts as a broker (or agent) when it executes orders on behalf of its clients, whereas it acts as a dealer, or principal when it trades for its own account.
Registered principals are management professionals who work in securities, investment, and other financial companies including brokerages. Firms are required to have at least two registered principals unless they are classified as sole partnerships.
Understanding Agency BrokersAgency brokers act as an intermediary between their clients and the exchanges through which they trade. Their responsibility is to act on behalf of their clients in securing the best possible terms for their trades.
Principal orders are also referred to as principal trades. These are special trades that involve a broker-dealer acting on its own behalf. Instead of executing transactions on behalf of its clients, the broker acts as a dealer to make trades within its own account.
In the context of registered securities offerings, an existing stockholder of a company that is selling shares in a registered public offering. A public offering of shares by existing stockholders is known as a secondary offering.
Agents work for insurance companies, while brokers work for consumers. Because brokers represent their clients, they have a duty to provide impartial advice and act in the buyers' best interest. Agents, on the other hand, are motivated to sell the products that the insurers they represent offer.
Understanding Principal Orders Principal orders are also referred to as principal trades. These are special trades that involve a broker-dealer acting on its own behalf. Instead of executing transactions on behalf of its clients, the broker acts as a dealer to make trades within its own account.
