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Change of Broker-Dealer Authorization MEMBER FINRA SIPC TO: Name of Fund Company or Variable Insurance Company Address of Fund Company City, State, Zip RE: Account Title Address of Record City, State,

How to fill out change of broker-dealer authorization

How to fill out change of broker-dealer authorization:

1. Obtain the necessary forms: Contact your current broker-dealer or regulatory authority to obtain the specific form required for the change of broker-dealer authorization. This form may vary depending on your jurisdiction.
2. Provide personal information: Fill in your personal information, including your full name, contact details, and any relevant identification numbers, such as your Social Security number or tax identification number.
3. Indicate the reason for the change: Specify the reason for the change of broker-dealer authorization, such as a desire to switch to a different brokerage firm or to update your registration details.
4. Disclose current and previous broker-dealer information: Provide details about your current and previous broker-dealers, including the firm's name, address, and contact information. This information helps ensure a smooth transition between brokerages.
5. Include any necessary attachments: If there are any supporting documents required, such as a copy of your identification or proof of address, attach them to the authorization form. This will help verify your identity and streamline the process.
6. Sign and date the form: Review the completed form thoroughly, ensuring that all information is accurate and complete. Sign and date the form as required, certifying the accuracy of the information provided.
7. Submit the form: Once the form is completed and signed, submit it according to the instructions provided. This may involve sending it via email, fax, or mail, or submitting it electronically through an online portal.

Who needs change of broker-dealer authorization?

1. Individuals switching brokerage firms: If you are an individual looking to transfer your account from one brokerage firm to another, you may need to complete a change of broker-dealer authorization form.
2. Brokers changing employment: If you are a broker or financial professional changing your employment from one firm to another, you may need to complete a change of broker-dealer authorization form to update your registration and ensure compliance with regulatory requirements.
3. Investors updating their registration: In some cases, investors may need to update their registration details with their broker-dealer. This could occur due to changes in personal information, such as an address or contact details, or to provide additional information required by regulatory authorities.

Note: The specific situations in which a change of broker-dealer authorization is required may vary depending on local regulations and individual circumstances. It is always advisable to consult with a legal or financial professional familiar with your jurisdiction's requirements for accurate guidance.

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