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Pronuclear RDISTRIBInService Distribution Form for active employees who have an available withdrawal option under the PlanQuestions? Use this form if you want to: request a cash payment from your

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What is brokerdealer firm and/or advisor?

A broker-dealer firm is a financial institution engaged in the business of trading securities for its own account or on behalf of its customers. An advisor is a professional who provides financial advice and investment recommendations.

Who is required to file brokerdealer firm and/or advisor?

Broker-dealer firms and advisors who are registered with the Securities and Exchange Commission (SEC) or state securities regulators are required to file.

How to fill out brokerdealer firm and/or advisor?

Broker-dealer firms and advisors can fill out the necessary forms online through the SEC's Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system.

What is the purpose of brokerdealer firm and/or advisor?

The purpose of filing as a broker-dealer firm or advisor is to comply with regulatory requirements and provide transparency to investors and regulators.

What information must be reported on brokerdealer firm and/or advisor?

Information such as financial statements, investment strategies, fees, and any disciplinary history must be reported on broker-dealer firm and/or advisor filings.

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