Reference: Ref-11280
| Reference Name: | Form ADV, Uniform Application for Investment Adviser Registration and Report Form by Exempt Reporting Advisers (07-17). |
| Agency: | 69 Department of Financial Services 69W Securities |
| Original Document(s): |
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| Modified Document(s): | No Modified document(s). | |||||
| Description: | Form ADV, Uniform Application for Investment Adviser Registration and Report Form by Exempt Reporting Advisers (07-17). | |||||
Disclaimer: External links within the reference material are subject to change outside of the rulemaking process.
Rules/Notices using this Reference Material| Notice / Adopted |
Description | ID | Publish Date |
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|---|---|---|---|---|
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Application for Registration as an Investment Adviser (State Registered) | 22602569 |
Effective: 11/26/2019 |
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Notice-Filing for Federal Covered Advisers | 22602666 |
Effective: 11/26/2019 |
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Custody Requirements for Investment Advisers | 22603636 |
Effective: 11/26/2019 |
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