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BD- Texas Broker-Dealer and Broker-Dealer Agent Open Record Request Form 133.2
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IA- Washington Investment Adviser and I-A Rep. Registration Requirements
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IA- Washington Investment Adviser and I-A Rep. Licensing Fee Schedule
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BD- Washington Broker-Dealer Industry Best Practices
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BD- Washington Broker-Dealer Licensing Fee Schedule
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BD- Washington Broker-Dealer Salesperson Registration Requirements
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BD- Washington Broker-Dealer Registration Requirements
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IA- Alaska Dual Registration as an IA Representative and a B-D Salesperson Sample Letter
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IA- Alaska Investment Adviser Surety Bond Form
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IA- Alaska Investment Adviser Registration Fee Schedule
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BD- Alaska Broker-Dealer Registration Fee Schedule
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IA- Hawaii Investment Adviser Surety Bond Form
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IA- Hawaii Investment Adviser Registration Requirements
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IA- Hawaii Investment Adviser and Investment Adviser Rep. Administrative Rules
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IA- Hawaii Investment Adviser Registration Fee Schedule
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BD- Hawaii B-D Balance Sheet and Minimum Net Capital Verification Form
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BD- Hawaii Broker-Dealer and Broker-Dealer Agent Administrative Rules
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BD- Hawaii Broker-Dealer Registration Fee Schedule
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BD- Hawaii Broker-Dealer Annual Report of Financial Condition and Waiver Requirements
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BD- Hawaii Broker-Dealer Registration Requirements and Affidavit of No Sales Form
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IA- Texas Investment Adviser and Investment Adviser Rep. Waiver or Refund Request by a Military Spouse for a Renewal Fee Form 133.22
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BD- Texas Broker-Dealer and Broker-Dealer Agent Waiver or Refund Request by a Military Spouse for a Renewal Fee Form 133.22
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IA- Texas Invest. Adv. and IA Rep. Request for Recognition of Out-Of-State License or Registration by a Military Spouse Form 133.23
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BD- Texas B-D and B-D Agent Request for Recognition of Out-Of-State License or Registration by a Military Spouse Form 133.23
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IA- Texas Investment Adviser and Investment Adviser Representative Waiver or Refund Request by a Military Applicant Form 133.19
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BD- Texas Broker-Dealer and Broker-Dealer Agent Waiver or Refund Request by a Military Applicant Form 133.19
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IA- Texas Investment Adviser Request for Reduced Fees for Certain Persons Registered in Multiple Capacities Form 133.36
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BD- Texas Broker-Dealer Request for Reduced Fees for Certain Persons Registered in Multiple Capacities Form 133.36
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BD- Texas Broker-Dealer Certification of Balance Sheet by Principal Financial Officer Form 133.18
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IA- Texas Investment Adviser and Investment Adviser Representative Registration Fee Schedule
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BD- Texas Broker-Dealer and Broker-Dealer Agent Registration Fee Schedule
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IA- Texas Investment Adviser and Investment Adviser Rep. Registration Requirements
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BD- Texas Broker-Dealer and Broker-Dealer Agent Registration Requirements
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BD- Georgia Broker-Dealer and Broker-Dealer Agent Registration Requirements
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IA- Illinois Dual Registration as an IA Representative and a B-D Salesperson Form
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BD- Illinois Broker-Dealer Designation of Principal Form
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