How will EASi facilitate the certification of information provided by Registered Representatives as part of their registration application?

The Registered Representative will not be able to sign the disclosures made via EASi, as done previously in the Form 3B. On EASi, the Applicant/Registrant with whom the Registered Representative is employed, will be required to appoint an officer to complete and electronically sign and submit the form containing the Registered Representative’s information.

Applicants/Registrants will be required to ensure that disclosures made on behalf of its Registered Representatives via EASi are appropriately certified by these individuals. Appropriate documents in support of this are also required to be maintained.

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