Broker-Dealer Resources

BD- Request to Open Accounts At Other Broker-Dealers and Financial Institutions

BD- Request to Open Accounts At Other Broker-Dealers and Financial Institutions

$45.00

BD- Brokerage Compensation & Related Conflicts of Interest Disclosure Statement

BD- Brokerage Compensation & Related Conflicts of Interest Disclosure Statement

$345.00

WY- Wyoming Crowdfunding Final Sales Report Form

WY- Wyoming Crowdfunding Final Sales Report Form

$0.00

WY- Wyoming Notice of Crowdfunding Investment Cancelation Form

WY- Wyoming Notice of Crowdfunding Investment Cancelation Form

$0.00

WY- Wyoming Crowdfunding Portal Registration WIN Exemption Form

WY- Wyoming Crowdfunding Portal Registration WIN Exemption Form

$0.00

BD- Wisconsin Broker-Dealer Agent Simultaneous Reg. Disclosure App. Form

BD- Wisconsin Broker-Dealer Agent Simultaneous Reg. Disclosure App. Form

$0.00

BD- Wisconsin Broker-Dealer Activity of Applicant Form

BD- Wisconsin Broker-Dealer Activity of Applicant Form

$0.00

WI- Wisconsin Agent of Issuer U4 Supplemental Information Form

WI- Wisconsin Agent of Issuer U4 Supplemental Information Form

$0.00

BD- Wisconsin Broker-Dealer and Agent Registration Requirements

BD- Wisconsin Broker-Dealer and Agent Registration Requirements

$0.00

WI- Wisconsin Securities Solicitation of Interest Form-SOI

WI- Wisconsin Securities Solicitation of Interest Form-SOI

$0.00

WI- Wisconsin Uniform Consent to Service of Process Form U-2

WI- Wisconsin Uniform Consent to Service of Process Form U-2

$0.00

WI- Wisconsin Uniform Application to Register Securities Form U-1

WI- Wisconsin Uniform Application to Register Securities Form U-1

$0.00

WV- West Virginia Crowdfunding Issuer Exemption Notice Instructions and Form

WV- West Virginia Crowdfunding Issuer Exemption Notice Instructions and Form

$0.00

WV- West Virginia Crowdfunding Portal Registration Instructions and Form

WV- West Virginia Crowdfunding Portal Registration Instructions and Form

$0.00

WV- West Virginia Application of Coordinated Review of Regulation A Offering Form CR-3(b)

WV- West Virginia Application of Coordinated Review of Regulation A Offering Form CR-3(b)

$0.00

WV- West Virginia Agent of Issuer Registration Requirements

WV- West Virginia Agent of Issuer Registration Requirements

$0.00

BD- West Virginia Non-FINRA Broker-Dealer and Agent Registration Requirements

BD- West Virginia Non-FINRA Broker-Dealer and Agent Registration Requirements

$0.00

BD- West Virginia Broker-Dealer and Agent Registration Requirements

BD- West Virginia Broker-Dealer and Agent Registration Requirements

$0.00

BD- West Virginia Broker-Dealer Uniform Surety Bond Form U-SB

BD- West Virginia Broker-Dealer Uniform Surety Bond Form U-SB

$0.00

WV- West Virginia Model Accredited Investor Exemption Form

WV- West Virginia Model Accredited Investor Exemption Form

$0.00

WV- West Virginia Small Company Offering Registration – SCOR Filing Manual

WV- West Virginia Small Company Offering Registration – SCOR Filing Manual

$0.00

WV- West Virginia Small Company Offering Registration - SCOR Form U-7

WV- West Virginia Small Company Offering Registration - SCOR Form U-7

$0.00

WV- West Virginia Uniform Investment Company Notice Filing Form-NF

WV- West Virginia Uniform Investment Company Notice Filing Form-NF

$0.00

WV- West Virginia Uniform Consent to Service of Process Form U-2

WV- West Virginia Uniform Consent to Service of Process Form U-2

$0.00

BD- Vermont Affidavit of Broker-Dealer Activity Form

BD- Vermont Affidavit of Broker-Dealer Activity Form

$0.00

VT- Vermont Uniform Application to Register Securities Form U-1

VT- Vermont Uniform Application to Register Securities Form U-1

$0.00

UT- Utah Registration by Coordination – Closing Report Form 9-1

UT- Utah Registration by Coordination – Closing Report Form 9-1

$0.00

UT- Utah Registration by Coordination Certification Form 10-2-1B

UT- Utah Registration by Coordination Certification Form 10-2-1B

$0.00

UT- Utah Registration by Qualification – Closing Report Form 10-2-1A

UT- Utah Registration by Qualification – Closing Report Form 10-2-1A

$0.00

UT- Utah Application for Registration by Qualification Form 10-2-1

UT- Utah Application for Registration by Qualification Form 10-2-1

$0.00