Reference: Ref-12575

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:
Rules/Notices using this Reference Material
Notice /
Adopted
Section Description ID Publish
Date
View Text Final
69W-600.0024
Application for Registration as an Associated Person (Investment Adviser and Federal Covered Advisor) 24065717 Effective:
01/18/2021