| 69W-600.001 | Application for Registration as a Dealer (FINRA) |
| 69W-600.0012 | Application for Registration as a Dealer (Non-FINRA) |
| 69W-600.0013 | Application for Registration as an Issuer/Dealer (Repealed) |
| 69W-600.0015 | Canadian Dealer Notice-Filing |
| 69W-600.0016 | Application for Registration as an Investment Adviser (State Registered) |
| 69W-600.0017 | Notice-Filing for Federal Covered Advisers |
| 69W-600.002 | Application for Registration as Associated Person (FINRA Dealer) |
| 69W-600.0022 | Application for Registration as an Associated Person (Non-FINRA Dealer) |
| 69W-600.0023 | Application for Registration as an Associated Person (Issuer/Dealer) (Repealed) |
| 69W-600.0024 | Application for Registration as an Associated Person (Investment Adviser and Federal Covered Advisor) |
| 69W-600.003 | Multiple Registration (Repealed) |
| 69W-600.0031 | Notice-Filing of Branch Office (FINRA Dealer) |
| 69W-600.0032 | Notice-Filing of Branch Office (Non-FINRA Dealer) |
| 69W-600.0033 | Notice Filing of Branch Office (Issuer/Dealer) (Repealed) |
| 69W-600.0034 | Notice-Filing of Branch Office (Investment Adviser) |
| 69W-600.004 | Registration of Issuer/Dealers and Principals and Notice-Filing of Branch Offices (Repealed) |
| 69W-600.005 | Examinations/Qualifications (Repealed) |
| 69W-600.006 | Fingerprint Requirements (Repealed) |
| 69W-600.007 | Changes in Name and Successor Registration Requirements (Repealed) |
| 69W-600.008 | Termination of Registration as Dealer, Investment Adviser, Principal or Agent, or Notification of Branch Office (Repealed) |
| 69W-600.009 | Registration and Notice-Filing Renewals (Repealed) |
| 69W-600.0091 | Central Registration Depository System (Repealed) |
| 69W-600.0092 | Investment Adviser Registration Depository for Federal Covered Advisers (Repealed) |
| 69W-600.0093 | Investment Adviser Registration Depository for Investment Advisers (Repealed) |
| 69W-600.010 | Notice of Civil, Criminal or Administrative Action (Repealed) |
