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118 Forms found in General — Blue Sky — Secretary Of State — Page 1 of 3
TitleState Last Updated
Transaction Certification District Of ColumbiaDecember 16, 2015
Statement Of Financial Condition District Of ColumbiaDecember 16, 2015
Representative(s) Affidavit District Of ColumbiaDecember 16, 2015
Clean Hands Form District Of ColumbiaDecember 16, 2015
Uniform Termination Notice For Securities Industry Registration NebraskaSeptember 14, 2015
Uniform Application For Securities Industry Registration Of Transfer NebraskaSeptember 14, 2015
Uniform Application For Broker-Dealer Registration NebraskaSeptember 14, 2015
Summary Of Nebraska Broker-Dealer Registration Requirements NebraskaSeptember 14, 2015
Complaint Form-Financial Institutions Division NebraskaSeptember 14, 2015
Complaint Form - Securities Bureau NebraskaSeptember 14, 2015
Affidavit Of Investment Advisory Activity In Nebraska NebraskaSeptember 14, 2015
Affidavit Of Broker Dealer Activity In Nebraska NebraskaSeptember 14, 2015
Summary Of Nebraska Investment Adviser Registration Requirements NebraskaSeptember 5, 2015
Designation Of Investment Adviser Representatives NebraskaSeptember 5, 2015
Uniform Registration Form Multi-Level Distribution Company MontanaAugust 29, 2015
Waiver Request For Exempt Securities Transactions AlaskaAugust 20, 2015
Registration Of Viatical Settlement Interest Transactions AlaskaAugust 20, 2015
Notice Of Exempt Securities Transactions Under AS 45.55.900(b)(19) AlaskaAugust 18, 2015
Rescission Notice AlaskaJuly 24, 2015
Report Of Securities Sales And Use Of Proceeds AlaskaJuly 24, 2015
New England Regional Review Application Form ConnecticutApril 17, 2015
Investment Complaint Form AlaskaSeptember 17, 2014
Notice Of Exempt Securities Transactions Under AS 45.55.900(b)(7)(B) AlaskaAugust 21, 2014
Notice Of Exempt Securities Transactions Under AS 45.55.900(b)(5)(B) AlaskaAugust 21, 2014
Notice Of Exempt Securities Transactions Under AS 45.55.900(b)(5)(A) AlaskaAugust 21, 2014
Notice Of Exempt Securities Transactions Under AS 45.55.900(b)(4) And 3 AAC 08.910(5) AlaskaAugust 21, 2014
Notice Of Exempt Securities Transactions Under AS 45.55.900(b)(18) AlaskaAugust 21, 2014
Notice Of Exempt Securities Transactions Given At The Option Of The Issuer Agent AlaskaAugust 21, 2014
Model Promotional Shares Escrow Agreemtent AlaskaAugust 21, 2014
Follow-up Report for AS 45.55.900(b)(19) AlaskaAugust 21, 2014
Application To Register Securities Under Regulation 3 AAC 08.500-505 AlaskaAugust 21, 2014
Application For Exemption From Registration MontanaApril 18, 2014
Complaint Form AlabamaApril 4, 2014
Connecticut Supplement For State-Regulated Investment ConnecticutMarch 20, 2014
Surety Bond ArkansasJanuary 28, 2014
Adviser Affidavit District Of ColumbiaOctober 17, 2013
Explanatory Statement And Statement Of Non-Prejudice ConnecticutAugust 20, 2013
Uniform Request For Withdrawl From Broker Dealer Registration NebraskaDecember 13, 2012
Uniform Request For Withdrawl From Broker Dealer Registration NebraskaDecember 13, 2012
Corporate Resolution Of NebraskaDecember 13, 2012
Affidavit Of Broker-Dealer Activity In Nebraska NebraskaDecember 13, 2012
Principals, Partners, Officers, Trustees, Directors And Managers ArkansasNovember 2, 2012
Parents, Subsidiaries And Affiliates ArkansasNovember 2, 2012
Mortgage Banker, Mortgage Broker, Mortgage Servicer Application For License ArkansasNovember 2, 2012
Application For Managing Principal, Branch Manager Or Loan Officer ArkansasNovember 2, 2012
Branch Offices ArkansasNovember 2, 2012
Arkansas Consent To Service Of Process ArkansasNovember 2, 2012
Form U-2 Uniform Consent To Service Of Process New YorkAugust 7, 2012
Bond Form - Bureau Of Securities NebraskaDecember 18, 2010
Statement Of Issuer MinnesotaOctober 17, 2010