Form 7X - Addendum to Form 7 [F - Rescinded]
| Published Date: | 1996-07-05 |
|---|---|
| Effective Date: | 1996-09-01 |
| Rescinded Date: | 2001-03-28 |
This is 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 that have their principal place of business in Canada in a jurisdiction outside British Columbia or that are members of an exchange or self regulatory body in Canada may file a form corresponding to Form 7 that is not in the form specified by the Excecutive Director. That is, they may file a corresponding form required by the jurisdiction in which the dealer, underwriter or adviser carries on its principal business or by the exchange or self regulatory body of which the dealer, underwriter or adviser is a member. Where this is the case, the dealer, underwriter or adviser must also file a completed Addendum to Form 7. The instructions set out on Form 7 apply, with any necessary changes, including the requirement that this form by initialed by the Commissioner of Oaths before whom the application is sworn, as well as by the applicant.
Name of Registrant (Applicant) ______________________________________________
| 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. | ________ |