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118 Forms found in General — Blue Sky — Secretary Of State — Page 1 of 3
TitleState Last Updated
Rescission Notice AlaskaMay 6, 2019
Uniform Registration Form Multi-Level Distribution Company MontanaApril 18, 2019
Adviser Affidavit District Of ColumbiaFebruary 28, 2019
Clean Hands Form District Of ColumbiaMarch 6, 2017
Registration Statement To Register Securities By Qualification NebraskaNovember 30, 2016
Indefinite Mutual Fund Sales Report NebraskaNovember 30, 2016
Indefinite UIT Sales Report NebraskaNovember 30, 2016
Broker-Dealer Corporate Resolution Form NebraskaNovember 30, 2016
Affidavit Of Broker Dealer Activity In Nebraska NebraskaNovember 30, 2016
Bond Form - Bureau Of Securities NebraskaNovember 30, 2016
Designation Of Investment Adviser Representatives NebraskaNovember 30, 2016
Affidavit Of Investment Advisory Activity In Nebraska NebraskaNovember 30, 2016
Application To Register Securities Under Regulation 3 AAC 08.500-505 AlaskaJuly 8, 2016
Waiver Request For Exempt Securities Transactions AlaskaJuly 7, 2016
Viatical Settlement Disclosure Document Part A AlaskaJuly 7, 2016
Notice Of Exempt Securities Transactions Under AS 45.55.900(b)(19) AlaskaJuly 7, 2016
Notice Of Exempt Securities Transactions Under AS 45.55.900(b)(18) AlaskaJuly 7, 2016
Follow-up Report for AS 45.55.900(b)(19) AlaskaJuly 7, 2016
Transaction Certification District Of ColumbiaMarch 30, 2016
Statement Of Financial Condition District Of ColumbiaMarch 30, 2016
Representative(s) Affidavit District Of ColumbiaMarch 30, 2016
Complaint Form - Securities Bureau NebraskaMarch 30, 2016
Complaint Form-Financial Institutions Division NebraskaOctober 6, 2015
Uniform Termination Notice For Securities Industry Registration NebraskaOctober 6, 2015
Uniform Application For Securities Industry Registration Of Transfer NebraskaOctober 6, 2015
Uniform Application For Broker-Dealer Registration NebraskaSeptember 14, 2015
Summary Of Nebraska Broker-Dealer Registration Requirements NebraskaSeptember 14, 2015
Summary Of Nebraska Investment Adviser Registration Requirements NebraskaSeptember 5, 2015
Registration Of Viatical Settlement Interest Transactions AlaskaAugust 20, 2015
Report Of Securities Sales And Use Of Proceeds AlaskaAugust 3, 2015
New England Regional Review Application Form ConnecticutMay 29, 2015
Investment Complaint Form AlaskaApril 13, 2015
Application For Exemption From Registration MontanaApril 13, 2015
Model Promotional Shares Escrow Agreemtent AlaskaApril 13, 2015
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 Given At The Option Of The Issuer Agent AlaskaAugust 21, 2014
Complaint Form AlabamaApril 4, 2014
Connecticut Supplement For State-Regulated Investment ConnecticutMarch 20, 2014
Surety Bond ArkansasJanuary 28, 2014
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