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STATE OF NORTH CAROLINA DEPARTMENT OF TRANSPORTATION HIGHWAY DIVISION 6PROPOSAL DATE AND TIME OF BID OPENING: CONTRACT ID: TIP NO.: FEDERAL AID NO.: WBS ELEMENT NO.:JANUARY 18, 2023 AT 2:00 PM DF00422
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The administration action addendum is a supplemental document that provides details about disciplinary actions taken against financial professionals by regulatory agencies.
Licensed individuals, such as brokers and investment advisers, are required to file the administration action addendum when applicable.
To fill out the administration action addendum, individuals must provide accurate details about the action taken against them, including the nature of the action, dates, and relevant circumstances.
The purpose of the administration action addendum is to ensure transparency and to inform regulatory bodies and investors about any administrative actions taken against a financial professional.
The information that must be reported includes the type of action, the regulatory agency involved, date of the action, and specifics regarding the violation.
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