| Title | State |
Last Updated |
| Affidavit Of Broker-Dealer Activity |
North Dakota | July 30, 2019 |
| Notice Of Claim Of Exemption From Registration For Certain Municipal Securities |
Colorado | June 24, 2019 |
| State Retirement System Investment Officer |
Ohio | June 4, 2019 |
| Report Of Sale Of Securities |
Ohio | June 4, 2019 |
| Registration By Description {6(A)(1)} |
Ohio | June 4, 2019 |
| Irrevocable Consent To Service Of Process By Non-Resident Applicant |
Ohio | June 4, 2019 |
| Filing Of Information Pertaining To A Control Bid |
Ohio | June 4, 2019 |
| Dealer Questionnaire And Affidavit Prior Sales |
Ohio | June 4, 2019 |
| Application To Register By Qualification Securities Pursuant To Section 1707.09 |
Ohio | June 4, 2019 |
| Application For Approval Of Corporate Reorganization |
Ohio | June 4, 2019 |
| Personal Balance Sheet |
Michigan | May 14, 2019 |
| Rescission Notice |
Alaska | May 6, 2019 |
| Sponsors And Selling Agents Broker Dealer Statement |
New York | May 3, 2019 |
| Coversheet To Accompany Investment Advisor Forms |
New York | April 26, 2019 |
| Notification Filing |
New York | April 19, 2019 |
| Uniform Registration Form Multi-Level Distribution Company |
Montana | April 18, 2019 |
| Uniform Franchise Registration Application |
New York | April 1, 2019 |
| Uniform Application To Register Securities |
Wisconsin | March 20, 2019 |
| Wisconsin Broker Dealer Activity Of Applicant |
Wisconsin | March 12, 2019 |
| Wisconsin Investment Advisory Activity Of Applicant |
Wisconsin | March 12, 2019 |
| Wisconsin Agent For Issuer U4 Supplemental Information |
Wisconsin | March 12, 2019 |
| Solicitation Of Interest |
Wisconsin | March 12, 2019 |
| Securities Agent Simultaneous Licensure Disclosure Application |
Wisconsin | March 12, 2019 |
| Investment Adviser Designation Of Supervisor |
Wisconsin | March 12, 2019 |
| Financial Certification |
Wisconsin | March 12, 2019 |
| Registrant Information Form |
New York | March 12, 2019 |
| Adviser Affidavit |
District Of Columbia | February 28, 2019 |
| Consent To Service Of Process |
California | February 20, 2019 |
| Request For Live Scan Service |
California | December 31, 2018 |
| Notice To California Commissioner Of Business Oversight Of Transaction |
California | December 7, 2018 |
| Notice Of Issuance Of Securities By An Investment Company {DBO-25100.1(b)} |
California | December 7, 2018 |
| Facing Page For Qualification Of Noniusser Transaction By Notification |
California | December 7, 2018 |
| Application For Approval As To Form An Offer To Repurchase |
California | December 7, 2018 |
| Customer Authorization Of Disclosure Of Financial Records |
California | December 7, 2018 |
| Surety Bond |
California | December 7, 2018 |
| Customer Authorization Of Disclosure Of Financial Records |
California | December 7, 2018 |
| Statement Of Transferee To Accompany Application For Consent To Transfer {DBO-260.151(b)} |
California | November 19, 2018 |
| Notice Of Issuance Of Shares Pursuant To Subdivision (h) Of Section 25102 {DBO-260.102.8(a)} |
California | November 19, 2018 |
| Instructions For Application For Qualification Of Issuers Transactions By Notification |
California | November 19, 2018 |
| Facing Page Application For Qualification Of The Offer And Sale Of Securities |
California | November 19, 2018 |
| Application For Qualification Of Recapitalizations And Reorganizations (Section 260.121) |
California | November 19, 2018 |
| Application For Qualification By Permit (Section 260.133) |
California | November 19, 2018 |
| Application For Qualification By Coordination |
California | November 19, 2018 |
| Application For Consent To Transfer Securities Pursuant To Section 25151 {DBO-260.151(a)} |
California | November 19, 2018 |
| Claim Of Exemption From Securities Registration |
Nevada | November 8, 2018 |
| Application For Removal Of Conditions |
California | October 10, 2018 |
| Notice Of Negotiated Sale Of Franchise Under Section 310.100.2 |
California | October 10, 2018 |
| Notice Of A Transaction Exempt Under Corporations Code Section 31106 |
California | October 10, 2018 |
| Notice Of Offices Directors Partners Control Persons Managers Memebers Trustees And Employees |
California | October 8, 2018 |
| Application For Requesting Approval To Surrender Capital Access Company Law License |
California | October 8, 2018 |
