EASi can be used 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 applications for registration of securities
- Apply to be approved as fit and proper to be a substantial shareholder
- Submit filings to the Commission such as:
- Material Change Notices and Reports
- Financial Statement Filings
- Conflict of Interest Rules Statements
- Limited Offering Notifications
- Post Distribution Statements
- Capital Confirmations
- Trading Reports
- Applications to be approved as fit and proper to be a substantial shareholder
- Form 6 Notifications of Change
- Applications for registration of securities
- Connected Person Reporting
- Reporting of Off-Exchange Trading
