Ny Form Cm-3 - Supplemental Commodity Statement printable pdf download

Ny Form Cm-3 - Supplemental Commodity Statement

NY Form CM-3 ** File No. _____________

(1/87)

STATE OF NEW YORK

Office of the Attorney General

BUREAU OF INVESTOR PROTECTION AND SECURITIES

SUPPLEMENTAL COMMODITY STATEMENT

SUPPLEMENT TO N.Y. FORMS CBD, CADV

All changes occurring within 30 days can be filed on a single CM-3 (with attachments

if necessary) and one fee.

Firm Name ________________________ Principal Office ____________________________

Street Address

Telephone ____________________

_____________________________

City

State

Zip

A COMMODITY BROKER-DEALER OR COMMODITY INVESTMENT ADVISOR SHALL,

NOT LATER THAN 30 DAYS AFTER OCCURRENCE, COMPLETE THIS STATEMENT TO

REPORT:

1. CHANGE OF COMMODITY SALESPERSONS:

A. New commodity salespersons employed. A Commodity Salesperson Statement (CM-2) or

Supplemental Commodity Salesperson Statement (CM-4) for each new employee must

accompany this form.

Date

Name

Address

________________________________________________________________________________

B. Commodity Salespersons terminated:

Reason for

Date

Name

Address

Termination

________________________________________________________________________________

2. CHANGE IN FIRM NAME, ADDRESS, OR N.Y.S. BRANCH OFFICE.

Date ____________ From: __________________________________________________________

To: _______________________________________________________________________________

3. Each occasion when registrant or any of its officers, directors, principals, partners, managers,

supervisors, salespersons, 10% or more equity holders or any entity in which said individual is a

Ny Form Cm-3 - Supplemental Commodity Statement