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Change of Broker/Dealer and/or Representative Form TO:Please change the broker/dealer firm and/or representative on my/our account(s) to reflect American Equity Investment Corp. as the dealer of record
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01
Collect all necessary information about the broker-dealer firm that needs to be updated.
02
Update the firm's contact information, including the address, phone number, and email address.
03
Update the firm's registration information, such as the name of the firm, its SEC registration number, and any changes to its ownership structure.
04
Update the firm's financial information, including its net capital requirements and any changes to its auditors or financial statements.
05
Update the firm's compliance policies and procedures, ensuring they meet all regulatory requirements.
06
Submit the updated information to the appropriate regulatory authorities and follow any additional steps required by the regulatory bodies.

Who needs update a broker-dealer firm?

01
Anyone who operates or manages a broker-dealer firm needs to update it as per the regulatory requirements.
02
Individuals or organizations planning to engage in securities trading or offering investment services also need to update their broker-dealer firm.
03
Compliance officers or legal advisors of broker-dealer firms have the responsibility to ensure the firm is updated as per the regulatory guidelines.
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Updating a broker-dealer firm involves submitting any necessary changes to the firm's registration information with the appropriate regulatory authorities.
All broker-dealer firms are required to file updates with the regulatory authorities.
To update a broker-dealer firm, the firm must complete the required forms and submit them to the appropriate regulatory authorities.
The purpose of updating a broker-dealer firm is to ensure that the regulatory authorities have accurate and up-to-date information about the firm.
The information that must be reported on an update for a broker-dealer firm includes any changes to ownership, management, or business operations.
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