Application For Registration, Renewal Or Amendment To An Application Of Investment Adviser - Commonwealth Of Puerto Rico Page 7

Download a blank fillable Application For Registration, Renewal Or Amendment To An Application Of Investment Adviser - Commonwealth Of Puerto Rico in PDF format just by clicking the "DOWNLOAD PDF" button.

Open the file in any PDF-viewing software. Adobe Reader or any alternative for Windows or MacOS are required to access and complete fillable content.

Complete Application For Registration, Renewal Or Amendment To An Application Of Investment Adviser - Commonwealth Of Puerto Rico with your personal data - all interactive fields are highlighted in places where you should type, access drop-down lists or select multiple-choice options.

Some fillable PDF-files have the option of saving the completed form that contains your own data for later use or sending it out straight away.

ADVERTISEMENT

Form R-3
Rev. 03/13
(a)
Whether securities are to be bought or sold
?
(b)
Which security is to be bought or sold
?
(c)
The total amount of the security to be bought or sold
?
19.
Does applicant or any person connected with applicant have custody, possession or authority to obtain custody or
possession of:
(a)
Securities of any investment advisory client? ________________________________________________
___________________________________________________________________________________
(b)
Funds of any investment advisory client? ___________________________________________________
___________________________________________________________________________________
20.
Does applicant:
(a)
As principal sell securities to or buy securities from any investment advisory client?
_____________________________________________________________________________________
(b)
Effect securities transactions as broker or agent for any investment advisory client?
____________________________________________________________________________________
(c)
As broker or agent for any person other than investment advisory client, sell securities to or buy securities
from such clients?
____________________________________________________________________________________
_____________________________________________________________________________________
(d)
Recommend to investment advisory clients or prospective clients, the purchase or sale of securities in
which the applicant or registrant, directly or indirectly has a position or interest?
________________________________________________________________________________
___________________________________________________________________________________
Item 21 and 22 are applicable to an investment adviser who has the principal place of business in Puerto Rico
or when required by the Commissioner.
21.
Section 202 (e) of the Puerto Rico Uniform Securities Act establishes the minimum capital requirement:
The term minimum capital is defined by Article 18 of the Regulation under the Uniform Securities Act
of Puerto Rico.
(a)
If a corporation: Does applicant have a minimum capital of not less than $8,000 plus $2,500 for each
Branch Office in Puerto Rico?
(b)
If a partnership, does applicant have a minimum capital of not less than $5,000 plus $2,500 for each

ADVERTISEMENT

00 votes

Related Articles

Top 20 Happy Easter Cards And Gift Tags To Download For Free
Top Ten Easter Arts And Crafts Activities For Your Kids
Free Easter Coloring Pages And Easter Printables For Your Kids

Related forms

Form R-2 - Application For Registration, Renewal Or Amendment To An Application Of An Agent Form R-2 - Application For Registration, Renewal Or Amendment To An Application Of An Agent Financial
Form Bca 4.25 - Application Form For Registration, Renewal Or Cancellation Of Foreign Registration - Illinois Form Bca 4.25 - Application Form For Registration, Renewal Or Cancellation Of Foreign Registration - Illinois Legal
Form Nfp-104.25 - Application For Registration, Renewal Or Cancellation Of Foreign Corporation Name Under The General Not For Profit Corporation Act Form Nfp-104.25 - Application For Registration, Renewal Or Cancellation Of Foreign Corporation Name Under The General Not For Profit Corporation Act Legal
Form Nfp-104.25 - Application For Registration, Renewal Or Cancellation Of Foreign Corporation Name - Illinois Secretary Of State Form Nfp-104.25 - Application For Registration, Renewal Or Cancellation Of Foreign Corporation Name - Illinois Secretary Of State Legal
Form Rrf-1 - Instructions For Filing Annual Registration Renewal Fee Report To Attorney General Of California Form Rrf-1 - Instructions For Filing Annual Registration Renewal Fee Report To Attorney General Of California Legal
Form Rrf-1 - Annual Registration Renewal Fee Report To Attorney General Of California Form Rrf-1 - Annual Registration Renewal Fee Report To Attorney General Of California Legal
Form Rrf-1 - Annual Registration Renewal Fee Report To Attorney General Of California Form Rrf-1 - Annual Registration Renewal Fee Report To Attorney General Of California Legal
Commonwealth Of Puerto Rico Birth Certificate Application By Mail Commonwealth Of Puerto Rico Birth Certificate Application By Mail Business
Application For Registration/renewal Of An International Student Exchange Visitor Placement Organization - Minnesota Secretary Of State, Statement Of Compliance International Student Exchange Organization Act - Minnesota Secretary Of State Application For Registration/renewal Of An International Student Exchange Visitor Placement Organization - Minnesota Secretary Of State, Statement Of Compliance International Student Exchange Organization Act - Minnesota Secretary Of State Life
Application For Registration/renewal As An Athlete Agent - Secretary Of State - State Of Iowa Application For Registration/renewal As An Athlete Agent - Secretary Of State - State Of Iowa Legal

Related Categories

Parent category: Business
Download
Go
Page of 9