Reference: Ref-09913

Reference Name: Form OFR-MIL-001
Agency: 69 Department of Financial Services
69W Securities

Modified Document(s):
9/18/2019 The effective date place holder of "XX/XXXX" is replaced with "09/2018" and "F.A.C." is ...
Original Document(s):
8/27/2018 Active Military Member/Veteran/Spouse Fee Waiver & Military Service Verification Form
Description: Active Military Member/Veteran/Spouse Fee Waiver & Military Service Verification Form
Rules/Notices using this Reference Material
Notice /
Adopted
Section Description ID Publish
Date
View Text Final
69W-600.002
Application for Registration as Associated Person (FINRA Dealer) 24065426 Effective:
01/18/2021
View Text Final
69W-600.0022
Application for Registration as an Associated Person (Non-FINRA Dealer) 24065523 Effective:
01/18/2021
View Text Final
69W-600.0023
Application for Registration as an Associated Person (Issuer/Dealer) 24065620 Effective:
01/18/2021
View Text Final
69W-600.0024
Application for Registration as an Associated Person (Investment Adviser and Federal Covered Advisor) 24065717 Effective:
01/18/2021
View Text Final
69W-600.002
Application for Registration as Associated Person (FINRA Dealer) 22602763 Effective:
11/26/2019
View Text Final
69W-600.0022
Application for Registration as an Associated Person (Non-FINRA Dealer) 22602860 Effective:
11/26/2019
View Text Final
69W-600.0023
Application for Registration as an Associated Person (Issuer/Dealer) 22602957 Effective:
11/26/2019
View Text Final
69W-600.0024
Application for Registration as an Associated Person (Investment Adviser and Federal Covered Advisor) 22603054 Effective:
11/26/2019
View Text Final
69W-600.002
Application for Registration as Associated Person (FINRA Dealer) 20880140 Effective:
09/25/2018
View Text Final
69W-600.0022
Application for Registration as an Associated Person (Non-FINRA Dealer) 20880237 Effective:
09/25/2018
View Text Final
69W-600.0023
Application for Registration as an Associated Person (Issuer/Dealer) 20880334 Effective:
09/25/2018
View Text Final
69W-600.0024
Application for Registration as an Associated Person (Investment Adviser and Federal Covered Advisor) 20880431 Effective:
09/25/2018