This form is a due diligence questionnaire that requests information to be used to complete the Registration Statement prior to the Effective Date. The questionnaire should be distributed to each person who is selling securities pursuant to the Registration Statement in business transactions.
Wyoming Comprehensive Selling Stockholder Questionnaire
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Multi-State
Control #:
US-DD06028
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Word;
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How to fill out Wyoming Comprehensive Selling Stockholder Questionnaire?
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FAQ
dealer (BD) is a person or firm in the business of buying and selling securities for its own account or on behalf of its customers. The term brokerdealer is used in U.S. securities regulation parlance to describe stock brokerages because most of them act as both agents and principals.
Form BD is available on the Department's web site or FINRA's web site at .
The Form also is used by applicants to register as broker- dealers with certain self-regulatory organizations and all of the states. The Commission and the Financial Industry Regulatory Authority, Inc. maintain the files of the information on this Form and will make the information publicly available.
Form BD is the Uniform Application for Broker-Dealer Registration. Broker-Dealers must file this form to register with the Securities and Exchange Commission, the self-regulatory organizations, and jurisdictions through the Central Registration Depository (CRD) system, operated by FINRA.
This Standard Document is a form of Selling Stockholder Questionnaire. This questionnaire can be used in registered secondary offerings of securities to help collect and verify information relating to stockholders selling securities as part of the offering.
This Standard Document is a form of Selling Stockholder Questionnaire. This questionnaire can be used in registered secondary offerings of securities to help collect and verify information relating to stockholders selling securities as part of the offering.
In the context of registered securities offerings, an existing stockholder of a company that is selling shares in a registered public offering. A public offering of shares by existing stockholders is known as a secondary offering.
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