Reference: Ref-12565
| Reference Name: | Form U5 Instructions-Explanation of Terms-Form |
| 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 Associated Person (Non-FINRA Dealer) | 28753727 |
Effective: 10/01/2024 |
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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 (Non-FINRA Dealer) | 26782008 |
Effective: 02/14/2023 |
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Application for Registration as an Associated Person (Non-FINRA Dealer) | 24065523 |
Effective: 01/18/2021 |
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