Reference: Ref-06081

Reference Name: Form OFR-DA-5-91
Agency: 69 Department of Financial Services
69W Securities

Original Document(s):
10/27/2015
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-600.0013
Application for Registration as an Issuer/Dealer (Repealed) 26781717 Effective:
02/14/2023
View Text Final
69W-600.0013
Application for Registration as an Issuer/Dealer 24064941 Effective:
01/18/2021
View Text Final
69W-600.0013
Application for Registration as an Issuer/Dealer 22602472 Effective:
11/26/2019
View Text Final
69W-600.0013
Application for Registration as an Issuer/Dealer 16901006 Effective:
12/29/2015