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Broker (561 products)
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Colorado Division of Securities Library (24 products)
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Investment Adviser (532 products)
Iowa Insurance Division Securities Bureau Library (2 products)
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Louisiana Office of Financial Institutions Library (6 products)
MA Securities Division Library (8 products)
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SEC (18 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)
WA Dept. of Financial Institutions Securities Division Library (6 products)
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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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BD- Washington Broker-Dealer Industry Best Practices

BD- Washington Broker-Dealer Industry Best Practices

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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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IA- Alaska Investment Adviser Surety Bond Form

IA- Alaska Investment Adviser Surety Bond Form

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IA- Alaska Investment Adviser Registration Fee Schedule

IA- Alaska Investment Adviser Registration Fee Schedule

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BD- Alaska Broker-Dealer Registration Fee Schedule

BD- Alaska Broker-Dealer Registration Fee Schedule

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IA- Hawaii Investment Adviser Surety Bond Form

IA- Hawaii Investment Adviser Surety Bond Form

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IA- Hawaii Investment Adviser Registration Requirements

IA- Hawaii Investment Adviser Registration Requirements

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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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IA- Hawaii Investment Adviser Registration Fee Schedule

IA- Hawaii Investment Adviser Registration Fee Schedule

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

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

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BD- Hawaii Broker-Dealer Registration Fee Schedule

BD- Hawaii Broker-Dealer Registration Fee Schedule

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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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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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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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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

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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Connexien

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IA- Texas Investment Adviser and Investment Adviser Representative Waiver or Refund Request by a Military Applicant Form 133.19

IA- Texas Investment Adviser and Investment Adviser Representative Waiver or Refund Request by a Military Applicant Form 133.19

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Connexien

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BD- Texas Broker-Dealer and Broker-Dealer Agent Waiver or Refund Request by a Military Applicant Form 133.19

BD- Texas Broker-Dealer and Broker-Dealer Agent Waiver or Refund Request by a Military Applicant Form 133.19

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Connexien

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IA- Texas Investment Adviser Request for Reduced Fees for Certain Persons Registered in Multiple Capacities Form 133.36

IA- Texas Investment Adviser Request for Reduced Fees for Certain Persons Registered in Multiple Capacities Form 133.36

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Connexien

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BD- Texas Broker-Dealer Request for Reduced Fees for Certain Persons Registered in Multiple Capacities Form 133.36

BD- Texas Broker-Dealer Request for Reduced Fees for Certain Persons Registered in Multiple Capacities Form 133.36

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Connexien

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BD- Texas Broker-Dealer Certification of Balance Sheet by Principal Financial Officer Form 133.18

BD- Texas Broker-Dealer Certification of Balance Sheet by Principal Financial Officer Form 133.18

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Connexien

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IA- Texas Investment Adviser and Investment Adviser Representative Registration Fee Schedule

IA- Texas Investment Adviser and Investment Adviser Representative Registration Fee Schedule

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Connexien

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BD- Texas Broker-Dealer and Broker-Dealer Agent Registration Fee Schedule

BD- Texas Broker-Dealer and Broker-Dealer Agent Registration Fee Schedule

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Connexien

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IA- Texas Investment Adviser and Investment Adviser Rep. Registration Requirements

IA- Texas Investment Adviser and Investment Adviser Rep. Registration Requirements

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Connexien

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

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

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Connexien

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

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

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Connexien

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