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Broker (546 products)
CA Dept. of Business Oversight (DBO) (10 products)
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Colorado Division of Securities Library (24 products)
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Iowa Insurance Division Securities Bureau Library (2 products)
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SEC (16 products)
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TX State Securities Board Library (27 products)
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VA State Corporation Commission Library (15 products)
Vermont Department of Financial Regulation Library (4 products)
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BD- Alabama Broker-Dealer Registration Requirements

BD- Alabama Broker-Dealer Registration Requirements

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Connexien

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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

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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

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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

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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

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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

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TX- Texas Crowdfunding Portal Registration Form 133.15

TX- Texas Crowdfunding Portal Registration Form 133.15

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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

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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

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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

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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

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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

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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

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Connexien

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BD- Texas Broker-Dealer and Broker-Dealer Agent Open Record Request Form 133.2

BD- Texas Broker-Dealer and Broker-Dealer Agent Open Record Request Form 133.2

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Connexien

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IA- Washington Investment Adviser and I-A Rep. Registration Requirements

IA- Washington Investment Adviser and I-A Rep. Registration Requirements

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Connexien

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IA- Washington Investment Adviser and I-A Rep. Licensing Fee Schedule

IA- Washington Investment Adviser and I-A Rep. Licensing Fee Schedule

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Connexien

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BD- Washington Broker-Dealer Industry Best Practices

BD- Washington Broker-Dealer Industry Best Practices

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Connexien

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BD- Washington Broker-Dealer Licensing Fee Schedule

BD- Washington Broker-Dealer Licensing Fee Schedule

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BD- Washington Broker-Dealer Salesperson Registration Requirements

BD- Washington Broker-Dealer Salesperson Registration Requirements

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BD- Washington Broker-Dealer Registration Requirements

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

IA- Alaska Dual Registration as an IA Representative and a B-D Salesperson Sample Letter

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Connexien

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IA- Alaska Investment Adviser Surety Bond Form

IA- Alaska Investment Adviser Surety Bond Form

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Connexien

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IA- Alaska Investment Adviser Registration Fee Schedule

IA- Alaska Investment Adviser Registration Fee Schedule

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Connexien

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BD- Alaska Broker-Dealer Registration Fee Schedule

BD- Alaska Broker-Dealer Registration Fee Schedule

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Connexien

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IA- Hawaii Investment Adviser Surety Bond Form

IA- Hawaii Investment Adviser Surety Bond Form

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Connexien

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IA- Hawaii Investment Adviser Registration Requirements

IA- Hawaii Investment Adviser Registration Requirements

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Connexien

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IA- Hawaii Investment Adviser and Investment Adviser Rep. Administrative Rules

IA- Hawaii Investment Adviser and Investment Adviser Rep. Administrative Rules

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Connexien

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IA- Hawaii Investment Adviser Registration Fee Schedule

IA- Hawaii Investment Adviser Registration Fee Schedule

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Connexien

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BD- Hawaii B-D Balance Sheet and Minimum Net Capital Verification Form

BD- Hawaii B-D Balance Sheet and Minimum Net Capital Verification Form

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Connexien

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BD- Hawaii Broker-Dealer and Broker-Dealer Agent Administrative Rules

BD- Hawaii Broker-Dealer and Broker-Dealer Agent Administrative Rules

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Connexien

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BD- Hawaii Broker-Dealer Registration Fee Schedule

BD- Hawaii Broker-Dealer Registration Fee Schedule

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Connexien

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BD- Hawaii Broker-Dealer Annual Report of Financial Condition and Waiver Requirements

BD- Hawaii Broker-Dealer Annual Report of Financial Condition and Waiver Requirements

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Connexien

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BD- Hawaii Broker-Dealer Registration Requirements and Affidavit of No Sales Form

BD- Hawaii Broker-Dealer Registration Requirements and Affidavit of No Sales Form

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Connexien

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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

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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Connexien

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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

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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Connexien

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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

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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Connexien

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