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Iowa Insurance Division Securities Bureau Library (2 products)
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CO- Colorado Uniform Consent to Service of Process Form U-2

CO- Colorado Uniform Consent to Service of Process Form U-2

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CO- Colorado Application for Limited Offering Registration Form-RL

CO- Colorado Application for Limited Offering Registration Form-RL

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CO- Colorado Registration by Coordination Closing Report Form-RC-C

CO- Colorado Registration by Coordination Closing Report Form-RC-C

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CO- Colorado Uniform Investment Company Notice Filing Form-NF

CO- Colorado Uniform Investment Company Notice Filing Form-NF

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CO- Colorado Impound of Funds Agreement Escrow Form

CO- Colorado Impound of Funds Agreement Escrow Form

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CO- Colorado Notice of Proposed Release of Funds from Escrow Form ES-CF

CO- Colorado Notice of Proposed Release of Funds from Escrow Form ES-CF

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CO- Colorado Notice of Proposed Release of Funds from Escrow Form-ES

CO- Colorado Notice of Proposed Release of Funds from Escrow Form-ES

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CO- Colorado Notice of Claim of Exemption from Lic. of Certain Digital Tokens Form DT-2

CO- Colorado Notice of Claim of Exemption from Lic. of Certain Digital Tokens Form DT-2

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CO- Colorado Notice of Claim of Exemption from Reg. for Certain Digital Tokens Form DT-1

CO- Colorado Notice of Claim of Exemption from Reg. for Certain Digital Tokens Form DT-1

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CO- Colorado Crowdfunding Disclosure Document Form CF-2

CO- Colorado Crowdfunding Disclosure Document Form CF-2

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CO- Colorado Notification of Intention to Issue Securities Form CF-1

CO- Colorado Notification of Intention to Issue Securities Form CF-1

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DE- Delaware Uniform Investment Company Notice Filing Form-NF

DE- Delaware Uniform Investment Company Notice Filing Form-NF

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DE- Delaware Uniform Consent to Service of Process Form U-2

DE- Delaware Uniform Consent to Service of Process Form U-2

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DE- Delaware Waiver of Statutory Registration Form

DE- Delaware Waiver of Statutory Registration Form

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DE- Delaware Small Business Sec. Offering App. for Mid-Atlantic Regional Review Form- MARRF

DE- Delaware Small Business Sec. Offering App. for Mid-Atlantic Regional Review Form- MARRF

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DE- Delaware Notice of Limited Offering Exemption Form-LOE

DE- Delaware Notice of Limited Offering Exemption Form-LOE

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

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

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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

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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

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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

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BD- Arkansas Broker-Dealer Independent Contractor Acknowledgement

BD- Arkansas Broker-Dealer 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

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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

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

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

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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

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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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TX- Texas Crowdfunding Exemption Notice Form 133.21

TX- Texas Crowdfunding Exemption Notice Form 133.21

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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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