Reference: Ref-06090

Reference Name: Form U5
Agency: 69 Department of Financial Services
69W Securities

Original Document(s):
10/27/2015
Modified Document(s): No Modified document(s).
Description:
Rules/Notices using this Reference Material
Notice /
Adopted
Section Description ID Publish
Date
View Text Final
69W-600.001
Application for Registration as a Dealer (FINRA) 16900812 Effective:
12/29/2015
View Text Final
69W-600.0012
Application for Registration as a Dealer (Non-FINRA) 16900909 Effective:
12/29/2015
View Text Final
69W-600.0013
Application for Registration as an Issuer/Dealer 16901006 Effective:
12/29/2015
View Text Final
69W-600.0016
Application for Registration as an Investment Adviser (State Registered) 16901200 Effective:
12/29/2015
View Text Final
69W-600.0017
Notice-Filing for Federal Covered Advisers 16901297 Effective:
12/29/2015
View Text Final
69W-600.002
Application for Registration as Associated Person (FINRA Dealer) 16901588 Effective:
12/29/2015
View Text Final
69W-600.0022
Application for Registration as an Associated Person (Non-FINRA Dealer) 16901685 Effective:
12/29/2015
View Text Final
69W-600.0023
Application for Registration as an Associated Person (Issuer/Dealer) 16901782 Effective:
12/29/2015
View Text Final
69W-600.0024
Application for Registration as an Associated Person (Investment Adviser and Federal Covered Advisor) 16901879 Effective:
12/29/2015