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ENRON Group Inc. 5001400 Blair Place Ottawa, Ontario K1J 9B8 Telephone 6137862000 Facsimile 6137862001 Toll Free 8002676684 www.encon.ca Application Libel, Slander and Errors and Omissions Liability
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Start by entering your full name in the designated field.
02
Next, provide your contact information, including your phone number and email address.
03
Indicate your brokerage firm by typing in its name.
04
Include your firm's address, city, and state.
05
State whether or not you are a member of any financial regulatory organizations or associations.
06
Specify if you or your firm has ever been subject to disciplinary actions or investigations.
07
Provide details about your licensing and registration, including your registration number and the state(s) in which you are registered.
08
If applicable, provide information about any previous broker-dealer affiliations.
09
Sign and date the form to certify the accuracy of the information provided.
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Submitting broker please complete is required by individuals or brokerages who are involved in financial transactions or investments. This form helps collect relevant information about the submitting broker, including their personal details, affiliations, and any disciplinary actions or investigations. It is often used to ensure regulatory compliance and provide transparency within the financial industry.
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