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Additional Information Required by Section 130 810(b)(3 2026
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- Click ‘Get Form’ to open it in the editor.
- Begin by entering the 'Name of Firm' and 'CRD Number' in the designated fields. Ensure accuracy as this information is crucial for identification.
- In the section for 'Designated Principal(s)', list each principal responsible for securities sales in Illinois. Include their names, CRD numbers, and qualifying examinations passed.
- For the 'Net Capital Requirement', specify your minimum net capital amount and check the applicable method used for calculation. This ensures compliance with financial regulations.
- Complete the waiver request section if applicable, providing details on where records will be maintained outside Illinois.
- Finally, review all entries for accuracy before signing and dating the form at the bottom. This step is essential to validate your application.
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