[ARCHIVED THREAD] - Certification incomplete

Posted: 11/4/2014 12:13:53 PM EDT

Wondering if anyone has received an error letter for this before.
I have a friend that received an error letter stating "Transferee certification is incomplete". If you have gotten this error letter, what did you do to fix the error?

Posted: 11/4/2014 12:25:41 PM EDT

[#1]

Sounds pretty straightforward. Transferee certification is box 15 on the back of a Form 4. It has to be filled out for all transfers to an individual, and also has to be filled out for entities if the item is an SBR/SBS/MG/DD...cans and AOWs are exempt.

Posted: 11/4/2014 1:06:39 PM EDT

[#2]

I left out some vital information. He filed it as a trust, Form 4

Posted: 11/4/2014 1:10:51 PM EDT

[#3]

Quote History

Quoted:
I left out some vital information. He filed it as a trust, Form 4

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What was he transferring?

Posted: 11/4/2014 1:32:01 PM EDT

[#4]

Transferring SBr. It's his first NFa item. From looking at his trust and his application one thing I noticed different than mine is on his signatures. On mine I signed and then specified "as trustee", but his isn't like that

Posted: 11/4/2014 1:42:50 PM EDT

[#5]

Quote History

Quoted:
Transferring SBr. It's his first NFa item. From looking at his trust and his application one thing I noticed different than mine is on his signatures. On mine I signed and then specified "as trustee", but his isn't like that

View Quote

Section 15 will need to be filled out for an SBR.

His trust name should be in the first blank.
"All lawful reasons" or "all legal reasons" or something similar should be in the second blank (his state may have specific wording required)
Signature should include his title (like trustee)
Date it.

[ARCHIVED THREAD] - Certification incomplete

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[ARCHIVED THREAD] - Certification incomplete

[ARCHIVED THREAD] - Certification incomplete