Reference: Ref-12553
| Reference Name: | Form U4 Instructions-Explanation of Terms-Form.pdf |
| Agency: | 69 Department of Financial Services 69W Securities |
| Modified Document(s): |
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| Adopted Document(s): |
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| Proposed Document(s): |
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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Application for Registration as an Issuer/Dealer (Repealed) | 26781717 |
Effective: 02/14/2023 |
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Application for Registration as an Issuer/Dealer | 24064941 |
Effective: 01/18/2021 |
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