Get the free Change of broker-dealer authorization - John Hancock Investment

Reset Form Change of broker-dealer authorization Please print in all CAPITAL LETTERS and use black ink. Use this form only if you are updating an existing John Hancock account. For all John Hancock

How to fill out change of broker-dealer authorization

How to fill out change of broker-dealer authorization:

1. Obtain the necessary form: The first step in filling out a change of broker-dealer authorization is to obtain the appropriate form. This form can usually be found on the website of the regulatory authority overseeing broker-dealers or through your current broker-dealer.
2. Provide your personal information: The next step is to provide your personal information, including your full name, address, social security or tax identification number, and any relevant contact details. This information is necessary for the authorization process.
3. Indicate the reason for the change: In the form, you will need to indicate the reason for the change in broker-dealer authorization. Common reasons include changing firms, merging with another brokerage, or becoming an independent broker-dealer.
4. Specify the new broker-dealer: You will need to provide details about the new broker-dealer you intend to join. This includes the name of the firm, its address, and any other relevant contact information. If you have a specific individual or representative at the firm, you may also need to include their name and contact details.
5. Disclose any disciplinary history: The form often requires you to disclose any disciplinary history or regulatory actions taken against you in the past. This information is necessary for evaluating your eligibility for the change in authorization.
6. Attach supporting documents: Depending on the requirements of the regulatory authority, you may need to attach supporting documents to your change of broker-dealer authorization form. These documents could include copies of licenses, certifications, or any other relevant credentials.

Who needs change of broker-dealer authorization?

1. Broker-dealers changing firms: Individuals who are currently working as broker-dealers but wish to change firms will need to go through the process of obtaining a change of broker-dealer authorization.
2. Independent broker-dealers: Independent broker-dealers who are not affiliated with any specific brokerage firm may need to obtain a change of broker-dealer authorization if they want to join a new firm or be regulated by a different regulatory authority.
3. Merging broker-dealers: If two or more broker-dealers are merging to form a new entity, they will need to apply for a change of broker-dealer authorization to ensure compliance with regulations and maintain continuity in their operations.

In conclusion, filling out a change of broker-dealer authorization involves providing personal information, specifying the reason for the change, indicating the new broker-dealer, disclosing any disciplinary history, and attaching supporting documents. This process is necessary for broker-dealers changing firms, independent broker-dealers, and merging broker-dealers to ensure compliance with regulatory requirements.

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What is change of broker-dealer authorization?

Change of broker-dealer authorization refers to the process of updating or modifying the authorization of a broker-dealer firm to conduct business activities within the financial industry.

Who is required to file change of broker-dealer authorization?

Broker-dealer firms are required to file a change of broker-dealer authorization when there are modifications or updates to their authorization status.

How to fill out change of broker-dealer authorization?

To fill out a change of broker-dealer authorization, the broker-dealer firm must provide all necessary information and documentation regarding the requested changes to their authorization status.

What is the purpose of change of broker-dealer authorization?

The purpose of change of broker-dealer authorization is to ensure that broker-dealer firms are compliant with regulations and have updated authorization status to conduct business activities.

What information must be reported on change of broker-dealer authorization?

The information that must be reported on a change of broker-dealer authorization includes details of the requested changes, reasons for the changes, and any supporting documentation.