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Alabama Securities Commission Library (8 products)
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Broker (562 products)
CA Dept. of Business Oversight (DBO) (10 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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New Mexico Securities Division Library (16 products)
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Pennsylvania Department of Banking and Securities Library (19 products)
Resources (1 products)
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SC Attorney General Securities Division Library (4 products)
SEC (18 products)
SIPC (2 products)
South Dakota Division of Insurance - Securities Regulation Library (14 products)
Tennessee Department of Commerce & Insurance Library (8 products)
TX State Securities Board Library (27 products)
Utah Dept. of Commerce Division of Securities Library (22 products)
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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IA- Massachusetts Invest. Adv. Rep. Affidavit for Waiving Automatic Registration

IA- Massachusetts Invest. Adv. Rep. Affidavit for Waiving Automatic Registration

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Connexien

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BD- Massachusetts B-D and B-D Agent Registration Requirements

BD- Massachusetts B-D and B-D Agent Registration Requirements

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Connexien

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IA- California Index of Fees, Fines and Penalties (Form 510)

IA- California Index of Fees, Fines and Penalties (Form 510)

Vendor:
Connexien

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BD- California Request for Live Scan Service Form

BD- California Request for Live Scan Service Form

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Connexien

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IA- Connecticut Invest. Adv. and Invest. Adv. Agent Examination Requirements

IA- Connecticut Invest. Adv. and Invest. Adv. Agent Examination Requirements

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Connexien

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IA- Connecticut Federally Covered Investment Adviser Registration Requirements

IA- Connecticut Federally Covered Investment Adviser Registration Requirements

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Connexien

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BD- Connecticut Broker-Dealer and Investment Adviser Registration Fees

BD- Connecticut Broker-Dealer and Investment Adviser Registration Fees

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Connexien

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BD- Connecticut Broker-Dealer Registration Requirements

BD- Connecticut Broker-Dealer Registration Requirements

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Connexien

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IA- Virginia Investment Adviser In-State Affidavit Form

IA- Virginia Investment Adviser In-State Affidavit Form

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Connexien

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BD- California Broker-Dealer Registration Requirements Guide

BD- California Broker-Dealer Registration Requirements Guide

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Connexien

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IA- Investment Adviser New Account Client Profile Form

IA- Investment Adviser New Account Client Profile Form

Vendor:
Connexien

Regular price $175.00 USD

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BD- Registered Representative Quarterly Compliance Certification

BD- Registered Representative Quarterly Compliance Certification

Vendor:
Connexien

Regular price $125.00 USD

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IA- 2019 Investment Adviser Compliance Calendar Update

IA- 2019 Investment Adviser Compliance Calendar Update

Vendor:
Connexien

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IA- SEC Registered Investment Adviser Compliance Manual (with Exhibits)

IA- SEC Registered Investment Adviser Compliance Manual (with Exhibits)

Vendor:
Connexien

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IA- Investment Adviser Books and Records Retention List

IA- Investment Adviser Books and Records Retention List

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Connexien

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IA- Standard Investment Advisory/Investment Management Agreement

IA- Standard Investment Advisory/Investment Management Agreement

Vendor:
Connexien

Regular price $275.00 USD

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IA- FinCEN Customer Due Diligence (CDD) Certification Form

IA- FinCEN Customer Due Diligence (CDD) Certification Form

Vendor:
Connexien

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IA- Investment Adviser Customer Complaint Log

IA- Investment Adviser Customer Complaint Log

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Connexien

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IA- Private Securities Transaction Disclosure Statement

IA- Private Securities Transaction Disclosure Statement

Vendor:
Connexien

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IA- Investment Adviser Gifts & Gratuities Disclosure Statement

IA- Investment Adviser Gifts & Gratuities Disclosure Statement

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Connexien

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IA- Investment Adviser Restricted Securities List (RSL)

IA- Investment Adviser Restricted Securities List (RSL)

Vendor:
Connexien

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IA- Investment Adviser Quarterly Compliance Review Checklist

IA- Investment Adviser Quarterly Compliance Review Checklist

Vendor:
Connexien

Regular price $325.00 USD

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BD- Fingerprint Card Notification Letter to FINRA Document Services

BD- Fingerprint Card Notification Letter to FINRA Document Services

Vendor:
Connexien

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BD- FINRA Broker-Dealer Firm Name Reservation Request Form

BD- FINRA Broker-Dealer Firm Name Reservation Request Form

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Connexien

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IA- District of Columbia Investment Adviser Firm Affidavit Update

IA- District of Columbia Investment Adviser Firm Affidavit Update

Vendor:
Connexien

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BD- District of Columbia Statement of Financial Condition

BD- District of Columbia Statement of Financial Condition

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Connexien

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IA- Investment Adviser Books & Records Electronic Directory

IA- Investment Adviser Books & Records Electronic Directory

Vendor:
Connexien

Regular price $125.00 USD

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IA- Investment Adviser Social Media Disclosure Statement

IA- Investment Adviser Social Media Disclosure Statement

Vendor:
Connexien

Regular price $45.00 USD

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IA- New York Investment Adviser Cybersecurity Procedures (Limited Exemption)

IA- New York Investment Adviser Cybersecurity Procedures (Limited Exemption)

Vendor:
Connexien

Regular price $325.00 USD

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BD- Broker-Dealer Form U4 Confirmation of Accuracy

BD- Broker-Dealer Form U4 Confirmation of Accuracy

Vendor:
Connexien

Regular price $25.00 USD

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BD- Registered Representative Annual Compliance Certification

BD- Registered Representative Annual Compliance Certification

Vendor:
Connexien

Regular price $145.00 USD

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IA- Standard Investment Adviser Solicitor Agreement

IA- Standard Investment Adviser Solicitor Agreement

Vendor:
Connexien

Regular price $45.00 USD

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BD- Broker-Dealer List of Books and Records & Retention Requirements

BD- Broker-Dealer List of Books and Records & Retention Requirements

Vendor:
Connexien

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IA- Investment Adviser Preliminary Audit Records Request List (RRL)

IA- Investment Adviser Preliminary Audit Records Request List (RRL)

Vendor:
Connexien

Regular price $75.00 USD

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Broker-Dealer Compliance Manual Section 6- Financial Reporting

Broker-Dealer Compliance Manual Section 6- Financial Reporting

Vendor:
Connexien

Regular price $275.00 USD

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Broker-Dealer Compliance Manual Section 4- Continuing Education & Training

Broker-Dealer Compliance Manual Section 4- Continuing Education & Training

Vendor:
Connexien

Regular price $275.00 USD

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