Skip Navigation
Securities Law

Form 7 - Application for amendment of registration as dealer, adviser or underwriter [F - Rescinded]

Published Date: 1996-09-01
Rescinded Date: 1996-09-01

(Published and Effective dates are unknown)

FORM 7

Application for Amendment of Registration
as Dealer, Adviser or Underwriter

Check one (/)            Securities Act []                 Commodity Contract Act []

INSTRUCTIONS

  1. This form is the form required under Section 28 of the Securities Act and Section 20 of the Commodity Contract Act.

  2. All applicable questions must be answered. Failure to do so may cause delays in the processing of the application.

  3. This form and all attachments added thereto must be typewritten or hand printed. Any form or attachment completed by any other means may be considered not properly filed.

  4. All attachments pertaining to any question must be made exhibits to the form and each one must be so marked. All signatures must be originals. The Commissioner of Oaths before whom the application is sworn, as well as the applicant, is required to initial all attachments.

  5. Please attach the applicable fee.

________________________________________________________________

Name of Registrant

________________________________________________________________

Application is made for amendment to our existing registration as

________________________________________________________________

under the _______________ Act and the following statements of fact are made in respect thereof:

ANSWER "YES" OR "NO" TO EACH OF QUESTIONS 1 TO 8 INCLUSIVE.
IF THE ANSWER TO ANY OF THE FOLLOWING QUESTIONS IS "YES",
COMPLETE DETAILS MUST BE ATTACHED BY WAY OF EXHIBIT.

A.HAS THERE BEEN A CHANGE IN THE FOLLOWING:YES/NO
1.The name of the applicant._______
2. Address for service or any business address._______ 
3.

Partners, officers or directors and the reason for any such person's resignation, dismissal, severance or termination of employment or office.

_______
4.Trading officials of the applicant._______

5.

Holders of voting securities of the applicant._______
6.Branch offices in British Columbia._______
7.The person in charge of any branch office in British Columbia._______
8.Other significant changes pertaining to the applicant._______

B. Attached hereto and marked as an exhibit to the application for amendment is:

1. The name of each new partner, officer or director of }
     the applicant.                                                                          } This information MUST be
                                                                               } provided if you have answered
2. A completed Form 4 (or Form 1-U-85) for each new  }YES to A.3. or A.4.
    partner, officer or director of the applicant.                    }

C. Attached hereto and marked as an exhibit to the application for amendment is a statement of changes which have ocurred in the financial structure and control of the applicant, which would make the information previously given by the applicant pursuant to this or any previous Regulation, false or misleading.

 

 

DATED at __________________________ __________________________
                                                                                     (Name of Applicant)

this _________ day of_____________ 19____ By _____________________
                                                                                              (Signature of applicant, director, officer or partner)

________________________________
(Official capacity)

_________________________________________________________________

AFFIDAVIT

In the matter of the Securities Act / Commodity Contract Act

Province of British Columbia                    } I, ____________________________
                                                         }(Name in full)
                                                         }
__________ of ____________________} of the ________________________
                                                         }
To Wit:                                                              } in the Province of_____________

                                                           MAKE OATH AND SAY:

  1. I am the applicant (or a director, officer or partner of the applicant) herein for amendment of registration and I signed the application.

  2. The statements of fact made in the application for amendment of registration are true.

SWORN before me at the ____________________}
                                                                          }
in the ___________ of _____________________       }
                                                                          } __________________________
this _______ day of ________________ 19____        }(Signature of Deponent)
                                                                                                   }
__________________________________________ }
(A Commissioner, etc.)

It is an offence under the Securities Act/Commodity Contract Act to file an application containing a statement that, at the time and in light of the circumstances in which it is made, is a misrepresentation.