Reference: Ref-12561

Reference Name: Form U5 Instructions-Explanation of Terms-Form
Agency: 69 Department of Financial Services
69W Securities

Original Document(s):
12/16/2020
Modified Document(s): No Modified document(s).
Description:

Disclaimer: External links within the reference material are subject to change outside of the rulemaking process.

Rules/Notices using this Reference Material
Notice /
Adopted
Section Description ID Publish
Date
View Text Final
69W-600.0012
Application for Registration as a Dealer (Non-FINRA) 28114594 Effective:
03/21/2024
View Text Final
69W-600.0012
Application for Registration as a Dealer (Non-FINRA) 26781620 Effective:
02/14/2023
View Text Final
69W-600.0012
Application for Registration as a Dealer (Non-FINRA) 24064844 Effective:
01/18/2021