Reference: Ref-06079
Reference Name: | Form BDW |
Agency: | 69 Department of Financial Services 69W Securities |
Original Document(s): |
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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 MaterialNotice / Adopted |
Description | ID | Publish Date |
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Application for Registration as a Dealer (FINRA) | 28114400 |
Effective: 03/21/2024 |
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Application for Registration as a Dealer (Non-FINRA) | 28114594 |
Effective: 03/21/2024 |
|
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Application for Registration as a Dealer (FINRA) | 26781426 |
Effective: 02/14/2023 |
|
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Application for Registration as a Dealer (Non-FINRA) | 26781620 |
Effective: 02/14/2023 |
|
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Application for Registration as an Issuer/Dealer (Repealed) | 26781717 |
Effective: 02/14/2023 |
|
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Application for Registration as a Dealer (FINRA) | 24064747 |
Effective: 01/18/2021 |
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Application for Registration as a Dealer (Non-FINRA) | 24064844 |
Effective: 01/18/2021 |
|
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Application for Registration as an Issuer/Dealer | 24064941 |
Effective: 01/18/2021 |
|
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Application for Registration as a Dealer (FINRA) | 22602278 |
Effective: 11/26/2019 |
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Application for Registration as a Dealer (Non-FINRA) | 22602375 |
Effective: 11/26/2019 |
|
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Application for Registration as an Issuer/Dealer | 22602472 |
Effective: 11/26/2019 |
|
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Application for Registration as a Dealer (FINRA) | 16900812 |
Effective: 12/29/2015 |
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Application for Registration as a Dealer (Non-FINRA) | 16900909 |
Effective: 12/29/2015 |
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Application for Registration as an Issuer/Dealer | 16901006 |
Effective: 12/29/2015 |