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Declarations Section of the 1003

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  • #2415
    chichi63
    Member

    Is there any compliance issue if the declarations section of the 1003 is completed incorrectly?

    #2816
    JGo9
    Participant

    I personally can’t think of any regulatory violations that would be created by that. That being said you do want to make sure you make an effort that the information is correct. If the applicant fills out the application incorrectly and you know about it, I would recommend that you document the fact that the question should have been marked differently (noting the correct answer).

    Maybe Jack can give a bit more insight.

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