Reference: Ref-12575
| 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). | |||||
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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 Associated Person (Investment Adviser and Federal Covered Advisor) | 28753824 |
Effective: 10/01/2024 |
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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 an Associated Person (Investment Adviser and Federal Covered Advisor) | 26782202 |
Effective: 02/14/2023 |
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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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