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SECURITIES AND EXCHANGE COMMISSION Metro Manila, PhilippinesFORM 23B STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Check box if no longer subject to filing requirementFiled pursuant to

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How to fill out sec form 23-b statement

01

To fill out SEC Form 23-B statement, follow these steps:

02

Start by entering the date on which the form is being filled out in the designated field.

03

Provide your SEC Identification Number (CRD Number or SEC File Number).

04

Enter the legal name of the firm submitting the form.

05

Fill in the address details including the street address, city, state, and zip code.

06

Specify the type of organization based on the options provided (e.g., corporation, partnership, LLC).

07

Indicate the state or jurisdiction of incorporation or organization.

08

Enter the fiscal year-end date of the firm.

09

Provide the total assets and liabilities of the firm as of the most recent fiscal year-end.

10

State the exact date the fiscal year-end financial statements were provided to investors.

11

If applicable, indicate whether the firm is engaged in any principal business activities other than investment advisory.

12

Enter the number of employees currently employed by the firm.

13

Specify the number of clients for which the firm provides investment advisory services.

14

If applicable, provide the total amount of client assets overseen by the firm.

15

Answer the additional questions regarding the firm's registration status and any disciplinary history, if applicable.

16

Finally, certify and sign the form with your name, title, and the date of signing.

17

Remember to review the provided information for accuracy before submitting the form.

Who needs sec form 23-b statement?

01

SEC Form 23-B statement is required by investment advisory firms that are registered with the Securities and Exchange Commission (SEC). It is a disclosure form that must be filled out by these firms to provide information about their organizational details, financials, and other relevant aspects. The form is needed to comply with regulatory obligations and ensure transparency in the investment advisory industry.

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What is sec form 23-b statement?

SEC Form 23-B is a statement required by the Securities and Exchange Commission that discloses information about the beneficial ownership of securities.

Who is required to file sec form 23-b statement?

Individuals or entities that have beneficial ownership of securities registered under the Securities Exchange Act of 1934, including directors, officers, and significant shareholders, are required to file SEC Form 23-B.

How to fill out sec form 23-b statement?

To fill out SEC Form 23-B, you need to provide details such as your name, address, relationship to the issuer, the number of securities owned, and any changes in ownership. Ensure to comply with the specific instruction guidelines provided by the SEC.

What is the purpose of sec form 23-b statement?

The purpose of SEC Form 23-B is to ensure transparency in the ownership of securities, allowing investors and the public to be aware of the interests and holdings of key individuals in publicly traded companies.

What information must be reported on sec form 23-b statement?

Information that must be reported includes the names of beneficial owners, their relationship to the company, the number of securities they hold, and any transactions involving changes in ownership.

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