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DO NOT STAPLECSNYA FRM 01189M 0215-Page 1 of 2New York's 529 AdvisorGuided College Savings ProgramBroker Dealer Change Request Form This form will authorize the change of the financial advisory firm

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How to fill out broker dealer change request

01

Gather all necessary documentation and information about the desired changes to the broker dealer account.

02

Access the broker dealer change request form provided by your broker dealer or regulatory agency.

03

Fill out the form accurately and completely, providing all requested details about the changes to be made.

04

Attach any supporting documentation required, such as legal documents, identification, or financial statements.

05

Review the completed form and supporting documents to ensure accuracy and completeness.

06

Submit the filled-out form and supporting documents to the appropriate party or regulatory agency, following their specified submission process.

07

Follow up with the party or agency to ensure that the request is being processed and any additional information or steps are provided.

08

Once the change request is approved, review the updated broker dealer account information to ensure all changes have been correctly implemented.

Who needs broker dealer change request?

01

Individuals or entities who wish to make changes to their broker dealer account may need to submit a broker dealer change request. This may include broker dealers themselves, investment firms, financial institutions, or individual investors who have a brokerage account with a broker dealer. The specific requirements for submitting a broker dealer change request may vary depending on the regulatory agency overseeing the broker dealer and the nature of the requested changes.

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What is broker dealer change request?

A broker dealer change request is a form or notification submitted to notify regulatory agencies of any changes in the broker dealer's business operations or personnel.

Who is required to file broker dealer change request?

Any registered broker dealer or financial institution that undergoes changes requiring notification to regulatory agencies is required to file a broker dealer change request.

How to fill out broker dealer change request?

To fill out a broker dealer change request, the broker dealer must provide detailed information about the changes, including the reason for the change, affected personnel or business operations, and any supporting documentation.

What is the purpose of broker dealer change request?

The purpose of a broker dealer change request is to ensure regulatory agencies are informed of any changes within the broker dealer's firm that may impact its operations, compliance, or clients.

What information must be reported on broker dealer change request?

The broker dealer must report any changes to key personnel, ownership structure, business activities, compliance procedures, or any other information required by regulatory agencies.

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