Reg 397 pdf 2026

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  1. Click ‘Get Form’ to open the reg 397 PDF in the editor.
  2. Begin by filling in your Firm Name, Firm Number, and Firm Address. Ensure that all details are printed clearly in black ink or typed for legibility.
  3. Next, provide the mailing address if it differs from your firm’s address. This is crucial for receiving your New Report of Sales.
  4. In the section for New Report of Sales, enter the first and last report numbers along with their respective issue dates for a 12-month period prior to your request. Repeat this for each required entry.
  5. At the bottom of the form, certify your information by printing your name, title, and telephone number. Don’t forget to sign and date the form.

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