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  • IA- Colorado Investment Adviser Representative Affidavit of Eligibility Form U-AE

    IA- Colorado Investment Adviser Representative Affidavit of Eligibility Form U-AE

    IA- Colorado Investment Adviser Representative Affidavit of Eligibility Form U-AE

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  • IA- Colorado Investment Adviser Representative Email Registration Rule

    IA- Colorado Investment Adviser Representative Email Registration Rule

    IA- Colorado Investment Adviser Representative Email Registration Rule

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  • IA- Colorado Investment Adviser and Investment Adviser Rep. Registration Fees

    IA- Colorado Investment Adviser and Investment Adviser Rep. Registration Fees

    IA- Colorado Investment Adviser and Investment Adviser Rep. Registration Fees

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  • IA- Colorado Investment Adviser and IA Rep. Registration Requirements

    IA- Colorado Investment Adviser and IA Rep. Registration Requirements

    IA- Colorado Investment Adviser and IA Rep. Registration Requirements

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  • BD- Colorado Broker-Dealer Cybersecurity Checklist and Rules

    BD- Colorado Broker-Dealer Cybersecurity Checklist and Rules

    BD- Colorado Broker-Dealer Cybersecurity Checklist and Rules

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  • BD- Colorado Broker-Dealer and Broker-Dealer Agent Registration Fees

    BD- Colorado Broker-Dealer and Broker-Dealer Agent Registration Fees

    BD- Colorado Broker-Dealer and Broker-Dealer Agent Registration Fees

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  • BD- Colorado Non- FINRA Broker-Dealer and Broker-Dealer Agent Registration Requirements

    BD- Colorado Non- FINRA Broker-Dealer and Broker-Dealer Agent Registration Requirements

    BD- Colorado Non- FINRA Broker-Dealer and Broker-Dealer Agent Registration Requirements

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  • BD- Colorado Broker-Dealer Agent Email Registration Rule

    BD- Colorado Broker-Dealer Agent Email Registration Rule

    BD- Colorado Broker-Dealer Agent Email Registration Rule

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  • BD- Colorado FINRA Broker-Dealer and Broker-Dealer Agent Registration Requirements

    BD- Colorado FINRA Broker-Dealer and Broker-Dealer Agent Registration Requirements

    BD- Colorado FINRA Broker-Dealer and Broker-Dealer Agent Registration Requirements

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  • BD- Arkansas Broker-Dealer Independent Contractor Acknowledgement

    BD- Arkansas Broker-Dealer Independent Contractor Acknowledgement

    BD- Arkansas Broker-Dealer Independent Contractor Acknowledgement

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  • IA- Arkansas Investment Adviser Independent Contractor Acknowledgement

    IA- Arkansas Investment Adviser Independent Contractor Acknowledgement

    IA- Arkansas Investment Adviser Independent Contractor Acknowledgement

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  • BD- Arkansas Broker-Dealer Surety Bond Form U-SB and Continuation Certificate

    BD- Arkansas Broker-Dealer Surety Bond Form U-SB and Continuation Certificate

    BD- Arkansas Broker-Dealer Surety Bond Form U-SB and Continuation Certificate

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  • IA- Arkansas Investment Adviser Registration Requirements

    IA- Arkansas Investment Adviser Registration Requirements

    IA- Arkansas Investment Adviser Registration Requirements

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  • IA- Arkansas Investment Adviser Dual Registration and Joint Supervision Requirements

    IA- Arkansas Investment Adviser Dual Registration and Joint Supervision Requirements

    IA- Arkansas Investment Adviser Dual Registration and Joint Supervision Requirements

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  • BD- Arkansas Broker-Dealer Dual Registration and Joint Supervision Requirements

    BD- Arkansas Broker-Dealer Dual Registration and Joint Supervision Requirements

    BD- Arkansas Broker-Dealer Dual Registration and Joint Supervision Requirements

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  • BD- Arkansas Broker-Dealer and Broker-Dealer Agent Registration Requirements

    BD- Arkansas Broker-Dealer and Broker-Dealer Agent Registration Requirements

    BD- Arkansas Broker-Dealer and Broker-Dealer Agent Registration Requirements

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  • IA- Alabama Investment Adviser Client Agreement Sample Template

    IA- Alabama Investment Adviser Client Agreement Sample Template

    IA- Alabama Investment Adviser Client Agreement Sample Template

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  • IA- Alabama Investment Adviser Surety Bond Form U-SB

    IA- Alabama Investment Adviser Surety Bond Form U-SB

    IA- Alabama Investment Adviser Surety Bond Form U-SB

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  • BD- Alabama Broker-Dealer Surety Bond Form U-SB

    BD- Alabama Broker-Dealer Surety Bond Form U-SB

    BD- Alabama Broker-Dealer Surety Bond Form U-SB

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  • IA- Alabama Investment Adviser Representative Registration Requirements

    IA- Alabama Investment Adviser Representative Registration Requirements

    IA- Alabama Investment Adviser Representative Registration Requirements

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  • IA- Alabama Investment Adviser SEC Registration Requirements

    IA- Alabama Investment Adviser SEC Registration Requirements

    IA- Alabama Investment Adviser SEC Registration Requirements

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  • IA- Alabama Investment Adviser In-State Registration Requirements

    IA- Alabama Investment Adviser In-State Registration Requirements

    IA- Alabama Investment Adviser In-State Registration Requirements

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  • BD- Alabama Broker-Dealer Agent Registration Requirements

    BD- Alabama Broker-Dealer Agent Registration Requirements

    BD- Alabama Broker-Dealer Agent Registration Requirements

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  • BD- Alabama Broker-Dealer Registration Requirements

    BD- Alabama Broker-Dealer Registration Requirements

    BD- Alabama Broker-Dealer Registration Requirements

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  • TX- Texas Year-End Report of Sales of Federal Covered Securities by a Money Market Fund Form 133.27

    TX- Texas Year-End Report of Sales of Federal Covered Securities by a Money Market Fund Form 133.27

    TX- Texas Year-End Report of Sales of Federal Covered Securities by a Money Market Fund Form 133.27

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    Connexien
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  • TX- Texas Request for Determination of Money Market Fund Status for Federal Covered Securities Form 133.26

    TX- Texas Request for Determination of Money Market Fund Status for Federal Covered Securities Form 133.26

    TX- Texas Request for Determination of Money Market Fund Status for Federal Covered Securities Form 133.26

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    Connexien
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  • TX- Texas Crowdfunding Exemption Notice Form 133.21

    TX- Texas Crowdfunding Exemption Notice Form 133.21

    TX- Texas Crowdfunding Exemption Notice Form 133.21

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    Connexien
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  • TX- Texas Crowdfunding Portal Reg. by an Auth. Small Bus. Development Entity Form 133.20

    TX- Texas Crowdfunding Portal Reg. by an Auth. Small Bus. Development Entity Form 133.20

    TX- Texas Crowdfunding Portal Reg. by an Auth. Small Bus. Development Entity Form 133.20

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    Connexien
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  • TX- Texas Crowdfunding Portal Withdrawal of Registration Form 133.16

    TX- Texas Crowdfunding Portal Withdrawal of Registration Form 133.16

    TX- Texas Crowdfunding Portal Withdrawal of Registration Form 133.16

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    Connexien
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  • TX- Texas Crowdfunding Portal Registration Form 133.15

    TX- Texas Crowdfunding Portal Registration Form 133.15

    TX- Texas Crowdfunding Portal Registration Form 133.15

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    Connexien
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  • TX- Texas Third Party Brokerage Arrangements on Financial Entity Premises Form 133.9

    TX- Texas Third Party Brokerage Arrangements on Financial Entity Premises Form 133.9

    TX- Texas Third Party Brokerage Arrangements on Financial Entity Premises Form 133.9

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    Connexien
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  • TX- Texas Consent to Service Instructions and Form 133.8

    TX- Texas Consent to Service Instructions and Form 133.8

    TX- Texas Consent to Service Instructions and Form 133.8

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    Connexien
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  • TX- Texas Application for Registration of Securities Form 133.7

    TX- Texas Application for Registration of Securities Form 133.7

    TX- Texas Application for Registration of Securities Form 133.7

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    Connexien
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  • IA- Texas Invest. Adv. and IA Rep. Request for Consideration of a Registration Application by a Military Applicant Form 133.4

    IA- Texas Invest. Adv. and IA Rep. Request for Consideration of a Registration Application by a Military Applicant Form 133.4

    IA- Texas Invest. Adv. and IA Rep. Request for Consideration of a Registration Application by a Military Applicant Form 133.4

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    Connexien
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  • BD- Texas B-D and B-D Agent Request for Consideration of a Registration Application by a Military Applicant Form 133.4

    BD- Texas B-D and B-D Agent Request for Consideration of a Registration Application by a Military Applicant Form 133.4

    BD- Texas B-D and B-D Agent Request for Consideration of a Registration Application by a Military Applicant Form 133.4

    Vendor:
    Connexien
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  • IA- Texas Investment Adviser and Investment Adviser Representative Open Record Request Form 133.2

    IA- Texas Investment Adviser and Investment Adviser Representative Open Record Request Form 133.2

    IA- Texas Investment Adviser and Investment Adviser Representative Open Record Request Form 133.2

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    Connexien
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