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UT- Utah Uniform Consent to Service of Process Form U-2

UT- Utah Uniform Consent to Service of Process Form U-2

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Connexien

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Virginia Broker-Dealer Agent Employed by More Than One BD

Virginia Broker-Dealer Agent Employed by More Than One BD

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

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

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Top Securities and Exchange Commission (SEC) Exam Requests for Cybersecurity

Top Securities and Exchange Commission (SEC) Exam Requests for Cybersecurity

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PA- Pennsylvania Securities Registration Form-R

PA- Pennsylvania Securities Registration Form-R

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PA- Pennsylvania Limited Offering – Accredited Investor Exemption Form-E

PA- Pennsylvania Limited Offering – Accredited Investor Exemption Form-E

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ND- North Dakota Taxpayer Identification and Certification Form W-9

ND- North Dakota Taxpayer Identification and Certification Form W-9

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IA-Oregon Investment Adviser Representative – Salesperson Renewal Form

IA-Oregon Investment Adviser Representative – Salesperson Renewal Form

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IA- Wisconsin Investment Adviser Designation of Supervisor Form

IA- Wisconsin Investment Adviser Designation of Supervisor Form

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IA- West Virginia Investment Adviser Branch Office Registration Form

IA- West Virginia Investment Adviser Branch Office Registration Form

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IA- Statement of Periodic Testing of BCP & Regulation S-P

IA- Statement of Periodic Testing of BCP & Regulation S-P

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IA- Investment Adviser State Registration Requirements

IA- Investment Adviser State Registration Requirements

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IA- District of Columbia Investment Adviser Representative Affidavit Update

IA- District of Columbia Investment Adviser Representative Affidavit Update

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IA- Due Diligence Checklist for Third-Party Service Providers

IA- Due Diligence Checklist for Third-Party Service Providers

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FINRA Broker-Dealer Small Firm Cybersecurity Checklist

FINRA Broker-Dealer Small Firm Cybersecurity Checklist

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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- Written Supervisory Procedure (WSP) Attestation

BD- Written Supervisory Procedure (WSP) Attestation

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BD- Small Firm Annual Compliance Meeting & Training Packet

BD- Small Firm Annual Compliance Meeting & Training Packet

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BD- Hawaii Waiver Eligibility Cert. for Filing of Annual Report of Condition

BD- Hawaii Waiver Eligibility Cert. for Filing of Annual Report of Condition

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BD- FINRA New Account Application Template Word Version Short Form

BD- FINRA New Account Application Template Word Version Short Form

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FINRA Business Continuity Plan Template for Small Introducing Firms

FINRA Business Continuity Plan Template for Small Introducing Firms

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BD- District of Columbia (DC) Broker-Dealer Clean Hands Form

BD- District of Columbia (DC) Broker-Dealer Clean Hands Form

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BD- Customer Verification of Account Information & Update Form (36-Month Mailer)

BD- Customer Verification of Account Information & Update Form (36-Month Mailer)

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BD- Broker-Dealer Regulation Best Interest (Reg BI) & Form CRS Flow Chart

BD- Broker-Dealer Regulation Best Interest (Reg BI) & Form CRS Flow Chart

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2024 Investment Adviser Annual Compliance Calendar

2024 Investment Adviser Annual Compliance Calendar

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

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

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

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

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

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

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SD- South Dakota Uniform Consent to Service of Process Form U-2

SD- South Dakota Uniform Consent to Service of Process Form U-2

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PA- Pennsylvania Offering Solicitation of Interest Form-SOI Supplement

PA- Pennsylvania Offering Solicitation of Interest Form-SOI Supplement

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OR- Oregon Intrastate Offering Registration Exemption Form

OR- Oregon Intrastate Offering Registration Exemption Form

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Options Disclosure- Characteristics and Risks of Standardized Options

Options Disclosure- Characteristics and Risks of Standardized Options

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Connexien

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OR- Oregon Application to Register Securities Form

OR- Oregon Application to Register Securities Form

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MI- Michigan Uniform Consent to Service of Process Form U-2

MI- Michigan Uniform Consent to Service of Process Form U-2

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Connexien

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IA- Wisconsin Investment Adviser Financial Certification Form

IA- Wisconsin Investment Adviser Financial Certification Form

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IA- Vermont Affidavit of Investment Adviser Activity Form

IA- Vermont Affidavit of Investment Adviser Activity Form

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