Reference: Ref-06080
| Reference Name: | Form BR |
| 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 Material| Notice / Adopted |
Description | ID | Publish Date |
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|---|---|---|---|---|
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Application for Registration as an Investment Adviser (State Registered) | 28753436 |
Effective: 10/01/2024 |
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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 an Investment Adviser (State Registered) | 28114885 |
Effective: 03/21/2024 |
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Notice-Filing of Branch Office (FINRA Dealer) | 26782396 |
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Application for Registration as an Issuer/Dealer (Repealed) | 26781717 |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) | 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 Investment Adviser (State Registered) | 26781814 |
Effective: 02/14/2023 |
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Application for Registration as an Investment Adviser (State Registered) | 24065135 |
Effective: 01/18/2021 |
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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 an Investment Adviser (State Registered) | 22602569 |
Effective: 11/26/2019 |
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Notice-Filing of Branch Office (FINRA Dealer) | 22603151 |
Effective: 11/26/2019 |
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Notice-Filing of Branch Office (Non-FINRA Dealer) | 22603248 |
Effective: 11/26/2019 |
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|
Notice Filing of Branch Office (Issuer/Dealer) (Repealed) | 22603345 |
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 |
|
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|
Application for Registration as an Investment Adviser (State Registered) | 16901200 |
Effective: 12/29/2015 |
|
|
|
Notice-Filing of Branch Office (FINRA Dealer) | 16902073 |
Effective: 12/29/2015 |
|
|
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Notice-Filing of Branch Office (Non-FINRA Dealer) | 16902170 |
Effective: 12/29/2015 |
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Notice Filing of Branch Office (Issuer/Dealer) | 16902267 |
Effective: 12/29/2015 |
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Notice-Filing of Branch Office (Investment Adviser) | 16902364 |
Effective: 12/29/2015 |
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