Year-end Check-in: AR

Year-end check-in

Disclaimer: For informational purposes only. Estimated time: 1-5 minutes
Email Information
Email address*
example@example.com

2021 State Registrations
You must register in:
- Your home state;
- All states in which parties to a deal are located (once an LOI or term sheet is executed); and
- All states in which you conduct solicitations for a private placement offering.
Please discuss your state registration plans with your Managing Director, if applicable, since your firm will be invoiced for 2021 state registration fees.
Select the states that you'd like to renew registration in 2021:
CALIFORNIADELAWAREOREGON
If applicable, select any additional states where you'd like to register for 2021 (use Shift or Control buttons to select multiple states):
If applicable, select any additional states where you'd like to register for 2021 (use Shift or Control buttons to select multiple states):

Provide status update for each deal listed below:*

	Deal Status	Expected Commission Earnings ( USD)	Expected Deal Size (USD)
American Bowling Contest

Success Fees
Do you earn retainer or success fee income on behalf of your firm?*

YesNo
Have you shared your personal bank information?*

YesNo
Please provide your personal bank information*
Attestation*

Clear
I hereby (a) attest to the fact that the above account is my personal and private bank account, and (b) acknowledge and agree that I must provide prior written notice of any changes to my personal and private bank account details to Compliance.

Marketing and Public Communications Materials
Since joining Finalis, have all marketing materials and publicly-facing communications (e.g., CIMs, teasers, and management presentations) been submitted to Compliance for advance approval?*
Please upload any marketing materials not previously submitted to Compliance or send to at compliance@finalis.com

Browse Files

Cancelof
Do all of your publicly-facing communications (e.g., website, LinkedIn profile, and email signature) contain Finalis’ required compliance disclosures?*
Please list any publicly-facing communications that do not contain the required compliance disclosures and update them as soon as possible.*
Click here to view required compliance disclosures

Outside Business Activity (OBA)
Definition: Outside Business Activities

Please review your previously reported OBAs below.
Is the above-listed OBA information still current?*

YesNo
If not current, please provide your current OBA information*

Private Securities Transactions(PST)
Have you engaged in any private securities transactions (PST) since you joined Finalis that have not been reported to Compliance?*

YesNo
Please provide your current PST information*

Outside Brokerage Account
Please review your previously reported Outside Brokerage Accounts below.
Is the above-listed Outside Brokerage Account information still current?

YesNo
If not current, please provide the current Outside Brokerage Account information*
Please upload the current quarterly Outside Brokerage Accounts' statements or send to compliance@finalis.com

Browse Files

Cancelof
Have you made ongoing arrangements for duplicate quarterly statements to be provided to Finalis Compliance?*

YesNo

Please answer the following questions*

	Select:Yes/No	If Yes, please provide information on the activity
Have you received or given any gifts or hosted any business entertainment events for clients/prospects relating to the business of Finalis that exceeded $100?
Have you hosted any business entertainment event(s) involving political officials since joining Finalis?
Have you made any charitable contributions in the amount of $250 or more relating to the business of Finalis?

Attestation*

Clear
By signing below, I hereby certify that (i) I am the person associated with the e-mail address provided in this form, (ii) I attest to the truthfulness, accuracy, and completeness of the statements I am making on this form, and (iii) I acknowledge that prior to engaging in any Outside Business Activities, Private Securities Transactions and/or establish an Outside Brokerage Account, I must receive written approval from the Finalis Compliance Department.
Should be Empty:

Year-end check-in