Built in controls to prevent the entry of incorrect information into certain field types within forms. Mandatory fields preventing the applicant/registrant from proceeding without submission of the minimum required information. Mandatory document attachment upload features preventing the applicant/registrant from proceeding without uploading the necessary attachments. Intuitive pre-population of forms to …
Submit applications to the Commission for registration and renewal of registration of: Broker-Dealers Investment Advisers Registered Representatives Reporting Issuers Self-Regulatory Organizations Sponsored Broker-Dealers Sponsored Investment Advisers Underwriters Branch Offices of Broker-Dealers, Investment Advisers and Underwriters (NB – EASi cannot facilitate applications for renewal of Branch Offices at this time) Submit …
