Washington Application to Register Securities — Form U1 is a form that is used by Washington state businesses to register their securities with the Washington State Department of Financial Institutions (DFI). The form is used to report information about the securities, such as the issuer, the type of security, and the number of shares offered, as well as the offering price and terms. It also requires the company to provide financial statements, a business plan, and other materials. There are two types of Washington Application to Register Securities — Form U1: One for corporations and one for limited liability companies (LCS).
Washington Application to Register Securities - Form U1
State:
Washington
Control #:
WA-SKU-1543
Format:
PDF
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Application to Register Securities - Form U1
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FAQ
The FR U-1 statement is for recordkeeping requirements that must be met before credit is extended. The lender must retain the records for three years after the credit is extinguished.
SEC Form 1-U is a uniform statement of purpose form that companies must file in order to report fundamental changes to a company. The form is used, for example, to report the application or declaration of an issue or sale of securities, an acquisition, bankruptcy, or sale of assets.
Form 1 is the application for registration as a national securities exchange or an exchange exempt from registration pursuant to Section 5 of the Securities Exchange Act of 1934 (?Exchange Act?).
Share This Page: A margin loan is a loan from a broker to a client that functions as a margin account. The client may use the funds for any purpose and usually secures the loan with securities.
The principal purpose of the single-credit Rule is to prevent evasion or circumvention of the requirements of Regulation U by requiring each individual lender to aggregate all extensions of purpose credit to a borrower in order to determine whether collateral securing such extensions of credit meets the requirements of
To accept the customer's statement in good faith, the duly authorized representative of the creditor must be alert to the circumstances surrounding the credit and, if in possession of any information that would cause a prudent person not to accept the statement without inquiry, must have investigated and be satisfied
