Get the free change of broker-dealer form - Franklin Templeton

55063911449Sl. No. Franklin Templeton Mutual Fund Common Transaction Farmworker Name & Code* * AFI Registered Distributors Broker Name & Code×39431This Form is for use of Existing Investors only.

How to fill out change of broker-dealer form

How to fill out change of broker-dealer form

1. Obtain the change of broker-dealer form from the appropriate regulatory authority.
2. Fill out the form with accurate and complete information.
3. Provide your current broker-dealer information, including name, address, and registration number.
4. Indicate the reason for the change of broker-dealer, such as merger, acquisition, or personal preference.
5. Include any additional supporting documentation, if required.
6. Sign and date the form.
7. Submit the completed form to the regulatory authority for review and approval.
8. Follow any further instructions provided by the regulatory authority.

Who needs change of broker-dealer form?

1. Individuals or entities who are registered as broker-dealers and wish to change their current broker-dealer affiliation need to fill out the change of broker-dealer form.

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What is change of broker-dealer form?

The change of broker-dealer form is a regulatory document that must be filed by financial professionals when they decide to switch from one broker-dealer firm to another, ensuring compliance with securities regulations.

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

Registered representatives or investment advisors who are leaving one broker-dealer to join another are required to file the change of broker-dealer form.

How to fill out change of broker-dealer form?

To fill out the change of broker-dealer form, individuals must provide their personal information, details about their previous broker-dealer, information on the new broker-dealer, and any necessary disclosures required by regulatory authorities.

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

The purpose of the change of broker-dealer form is to inform regulatory bodies about an individual's transition between broker-dealers, ensuring transparency and compliance in the securities industry.

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

Required information includes the names and addresses of both the previous and new broker-dealers, the representative's information, dates of the change, and any relevant disclosures, such as disciplinary history.