Form 7X - Addendum to Form 7 [F - Rescinded]
| Published Date: | 1995-12-15 |
|---|---|
| Effective Date: | 1996-01-01 |
| Rescinded Date: | 1996-09-01 |
This is, in addition to Form 7 ("Application for Amendment of Registration as Dealer, Adviser or Underwriter"), a form required under sections 28 (1) and 28 (2) of the Securities Act.
FORM 7X
Securities Act
ADDENDUM TO FORM 7
INSTRUCTIONS
Registered dealers, underwriters and advisers must append a completed Addendum to Form 7 to any Form 7 filed by the registrant. The instructions set out on Form 7 apply, with any necessary changes, including the requirement that this form be initialed by the Commissioner of Oaths before whom the application is sworn, as well as by the applicant.
Name of Registrant (Applicant) ______________________________________________
CLARIFICATION OF QUESTIONS 4 AND 6 ON FORM 7
Question 4 on Form 7 asks applicants whether there has been a change in the "trading officials" of the applicant. To reflect current terminology, applicants should read the words "compliance officer(s)" for "trading officials".
Question 6 on Form 7 asks applicants whether there has been any change in branch offices in British Columbia. Dealers should be aware that "branch office", in relation to a dealer, is broadly defined in section 1 of the Securities Rules, including a residence but not including the dealer's chief place of business, if the dealer carries on any business as a dealer at that location, either alone or through one or more salespersons.
| HAS THERE BEEN A CHANGE IN THE FOLLOWING: | YES/NO | |
1. | Commencement or termination of the employment of a registered salesperson or registered advising employee and, in the case of termination of employment by any means, the reason for termination. |
________ |
2. | Change in the name of any partner, director or officer of the applicant. | ________ |
| HAS THERE BEEN A MATERIAL CHANGE IN THE FOLLOWING: | YES/NO | |
1. | A charge or indictment against, or a conviction of, the applicant or a partner, director or officer of the applicant for an offence under the law. | ________ |
2. | A finding, made against the applicant or a partner, director of officer of the applicant in a civil proceeding, of fraud, theft, deceit, misrepresentation or similar conduct. |
________ |
3. | Bankruptcy of the applicant or a partner, director or officer of the applicant. | ________ |
4. | Appointment of a receiver or receiver manager to hold the assets of the applicant or a partner, director or officer of the applicant. | ________ |
5. | Other information previously filed. | ________ |