Reference: Ref-09913
| Reference Name: | Form OFR-MIL-001 |
| Agency: | 69 Department of Financial Services 69W Securities |
| Modified Document(s): |
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| Original Document(s): |
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| Description: | Active Military Member/Veteran/Spouse Fee Waiver & Military Service Verification Form | |||||
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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Application for Registration as an Associated Person (Investment Adviser and Federal Covered Advisor) | 28115467 |
Effective: 03/21/2024 |
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Application for Registration as Associated Person (FINRA Dealer) | 28115176 |
Effective: 03/21/2024 |
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Application for Registration as an Associated Person (Non-FINRA Dealer) | 28115273 |
Effective: 03/21/2024 |
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Application for Registration as an Associated Person (Issuer/Dealer) (Repealed) | 26782105 |
Effective: 02/14/2023 |
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Application for Registration as Associated Person (FINRA Dealer) | 26781911 |
Effective: 02/14/2023 |
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Application for Registration as an Associated Person (Non-FINRA Dealer) | 26782008 |
Effective: 02/14/2023 |
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Application for Registration as an Associated Person (Investment Adviser and Federal Covered Advisor) | 26782202 |
Effective: 02/14/2023 |
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Application for Registration as Associated Person (FINRA Dealer) | 24065426 |
Effective: 01/18/2021 |
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Application for Registration as an Associated Person (Non-FINRA Dealer) | 24065523 |
Effective: 01/18/2021 |
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Application for Registration as an Associated Person (Issuer/Dealer) | 24065620 |
Effective: 01/18/2021 |
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Application for Registration as an Associated Person (Investment Adviser and Federal Covered Advisor) | 24065717 |
Effective: 01/18/2021 |
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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 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 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 an Associated Person (Investment Adviser and Federal Covered Advisor) | 20880431 |
Effective: 09/25/2018 |
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