Investment Adviser Resources – Page 6 – Connexien

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NV- Nevada Solicitation of Interest Form NAC 90.538

NV- Nevada Solicitation of Interest Form NAC 90.538

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Connexien

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NV- Nevada Year End Securities Sales Report Form 500-3

NV- Nevada Year End Securities Sales Report Form 500-3

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NE- Nebraska Indefinite Unit Investment Trust (UIT) Sales Report Form

NE- Nebraska Indefinite Unit Investment Trust (UIT) Sales Report Form

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NE- Nebraska Indefinite Mutual Fund Sales Report Form

NE- Nebraska Indefinite Mutual Fund Sales Report Form

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NE- Nebraska Portal Operator Registration Form- NPO

NE- Nebraska Portal Operator Registration Form- NPO

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NE- Nebraska Registration Statement to Register Securities by Qualification Form

NE- Nebraska Registration Statement to Register Securities by Qualification Form

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NE- Nebraska Seller Offering Disclosure Document Form-SODD

NE- Nebraska Seller Offering Disclosure Document Form-SODD

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NE- Nebraska Intrastate Crowdfunding Notice Exemption Form-NCF

NE- Nebraska Intrastate Crowdfunding Notice Exemption Form-NCF

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IA- Nebraska Investment Adviser Surety Bond Form

IA- Nebraska Investment Adviser Surety Bond Form

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IA- Nebraska Investment Adviser Affidavit of Activity Form

IA- Nebraska Investment Adviser Affidavit of Activity Form

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IA- Nebraska Investment Adviser and Representative Registration Requirements

IA- Nebraska Investment Adviser and Representative Registration Requirements

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NE- Nebraska Uniform Investment Company Notice Filing Form-NF

NE- Nebraska Uniform Investment Company Notice Filing Form-NF

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NE- Nebraska Uniform Consent to Service of Process Form U-2

NE- Nebraska Uniform Consent to Service of Process Form U-2

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NE- Nebraska Uniform Application to Register Securities Form U-1

NE- Nebraska Uniform Application to Register Securities Form U-1

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ND- North Dakota Application for Registration of Securities by Announcement – Secondary

ND- North Dakota Application for Registration of Securities by Announcement – Secondary

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ND- North Dakota Accredited Investor Exemption Form-AIE

ND- North Dakota Accredited Investor Exemption Form-AIE

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ND- North Dakota Application for Registration of Securities by Qualification Form S-2

ND- North Dakota Application for Registration of Securities by Qualification Form S-2

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ND- North Dakota Impoundment of Funds Agreement Form S-9

ND- North Dakota Impoundment of Funds Agreement Form S-9

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ND- North Dakota Issuer Exemption Application Form-E(S)

ND- North Dakota Issuer Exemption Application Form-E(S)

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ND- North Dakota Issuer Exemption Final Report of Sales Form-(E)(R)(S)

ND- North Dakota Issuer Exemption Final Report of Sales Form-(E)(R)(S)

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ND- North Dakota Uniform Application to Register Securities Form U-1

ND- North Dakota Uniform Application to Register Securities Form U-1

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ND- North Dakota Limited Offeree Exemption Application Form-E

ND- North Dakota Limited Offeree Exemption Application Form-E

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ND- North Dakota Limited Offeree Exemption Final Report of Offers and Sales Form-(E)R

ND- North Dakota Limited Offeree Exemption Final Report of Offers and Sales Form-(E)R

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ND- North Dakota Nonprofit Organization Claim of Exemption Form-NP

ND- North Dakota Nonprofit Organization Claim of Exemption Form-NP

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ND- North Dakota Securities Offering Circular Guidelines

ND- North Dakota Securities Offering Circular Guidelines

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ND- North Dakota Securities Rescission Offer Form-RO

ND- North Dakota Securities Rescission Offer Form-RO

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ND- North Dakota Solicitation of Interest Form-SOI

ND- North Dakota Solicitation of Interest Form-SOI

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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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ND- North Dakota Securities Agent Registration Application Form S-5

ND- North Dakota Securities Agent Registration Application Form S-5

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ND- North Dakota Issuer-Dealer Renewal or Termination Form S-6

ND- North Dakota Issuer-Dealer Renewal or Termination Form S-6

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ND- North Dakota Dealer Registration Application Form S-4

ND- North Dakota Dealer Registration Application Form S-4

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ND- North Dakota Issuer-Dealer Affidavit of Activity Form

ND- North Dakota Issuer-Dealer Affidavit of Activity Form

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ND- North Dakota Uniform Consent to Service of Process Form U-2

ND- North Dakota Uniform Consent to Service of Process Form U-2

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IA- North Dakota Investment Adviser Affidavit of Activity Form

IA- North Dakota Investment Adviser Affidavit of Activity Form

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MT- Montana Report of Annual Securities Sales Form

MT- Montana Report of Annual Securities Sales Form

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MT- Montana Equity Crowdfunding Disclosure Document Template

MT- Montana Equity Crowdfunding Disclosure Document Template

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Connexien

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