Reference: Ref-06090
| Reference Name: | Form U5 |
| 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 Associated Person (FINRA Dealer) | 22602763 |
Effective: 11/26/2019 |
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Application for Registration as an Associated Person (Non-FINRA Dealer) | 22602860 |
Effective: 11/26/2019 |
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Application for Registration as an Associated Person (Issuer/Dealer) | 22602957 |
Effective: 11/26/2019 |
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Application for Registration as an Associated Person (Investment Adviser and Federal Covered Advisor) | 22603054 |
Effective: 11/26/2019 |
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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 for Federal Covered Advisers | 22602666 |
Effective: 11/26/2019 |
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Application for Registration as an Associated Person (Investment Adviser and Federal Covered Advisor) | 20880431 |
Effective: 09/25/2018 |
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Application for Registration as Associated Person (FINRA Dealer) | 20880140 |
Effective: 09/25/2018 |
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Application for Registration as an Associated Person (Non-FINRA Dealer) | 20880237 |
Effective: 09/25/2018 |
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Application for Registration as an Associated Person (Issuer/Dealer) | 20880334 |
Effective: 09/25/2018 |
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Application for Registration as Associated Person (FINRA Dealer) | 16901588 |
Effective: 12/29/2015 |
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Application for Registration as an Associated Person (Non-FINRA Dealer) | 16901685 |
Effective: 12/29/2015 |
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Application for Registration as an Associated Person (Issuer/Dealer) | 16901782 |
Effective: 12/29/2015 |
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Application for Registration as an Associated Person (Investment Adviser and Federal Covered Advisor) | 16901879 |
Effective: 12/29/2015 |
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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 |
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Notice-Filing for Federal Covered Advisers | 16901297 |
Effective: 12/29/2015 |
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