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Finra 2111 Form: What You Should Know
Is this certificate's suitability for investors and employees compatible with the business and investment objectives and commitments of: (i) The business entity, and (ii) The investment objectives and commitments of the organization. 2. Do I have a good faith reason to believe that I can comply with my role within the organization? 3. My role in the operation of the corporation, and your role as an associated person, is complementary and is intended to support each other's suitability determinations. 4. I do not hold assets that could be construed as a part of the organization's operations, except a small minority of stock and options. My sole ownership stake in this certificate may only include the interests in those shares. However, I am responsible for reporting and making disclosures of the holdings of the certificate holders as necessary to the organization's investors; 5. I have no interests that would interfere with the effectiveness of the organization's operations in a material way; 6. I am not a party or otherwise affiliated in any way with the corporation holding this certificate. 7. Furthermore, I am not a party or otherwise affiliated in any way with the corporation holding this certificate. 8. Furthermore, I will not use the recommendations in this certificate as the primary basis for the decision to buy or sell a security or investment product. However, I may use them as a consideration in the formation or acquisition of a security to a limited extent if there is a business need for my recommendations. 9. I will not use the recommendations in this certificate as the sole basis for the decision to buy or sell a security or investment product. However, I may, in limited circumstances, use them as a consideration in the formation or acquisition of a security to a limited extent. I will disclose such purchases and sales only to those appropriate individuals when made. 10. This certificate is not a securities trading vehicle and does not have the power to set market prices or provide a market for the purchase or sale of any security. The board of this corporation has taken all steps necessary to assure that the issuance of this certificate has the full confidence of the shareholders and the public. 12. I am not a party or affiliated with the corporation holding this certificate and was not a party to any transactions involving this certificate while it was a member of the financial industry.
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