| Title | State |
Last Updated |
| Application For A License Under The Capital Access Company Law |
California | October 8, 2018 |
| Investor Protection Bureau Commodity Broker-Dealer Statement |
New York | October 5, 2018 |
| Application For Approval To Acquire Control |
California | October 4, 2018 |
| Year End Securities Sales Report |
Nevada | September 25, 2018 |
| Solicitation Of Interest Form |
Nevada | September 25, 2018 |
| Notice Of Withdrawal Of Registration |
Nevada | September 25, 2018 |
| Texas Crowdfunding Portal Registration |
Texas | September 20, 2018 |
| Customer Authorization Of Disclosure Of Financial Records |
California | July 12, 2018 |
| Notice Of Claim Exemption |
Virginia | June 14, 2018 |
| Uniform Investment Company Notice Filing |
New York | June 14, 2018 |
| Supplemental Salesperson Statement |
New York | June 14, 2018 |
| Supplemental Commodity Salesperson |
New York | June 14, 2018 |
| Salesperson Statement |
New York | June 14, 2018 |
| Original Ticket Distributor Registration |
New York | June 14, 2018 |
| Issuer Statement |
New York | June 14, 2018 |
| Investor Protection Bureau Complaint Form |
New York | June 14, 2018 |
| Investment Adviser Qualification |
New York | June 14, 2018 |
| Franchise Broker Registration Form |
New York | June 14, 2018 |
| Discontinuance Of Offering |
New York | June 14, 2018 |
| Commodity Salesperson Statement |
New York | June 14, 2018 |
| Broker Dealer Statement |
New York | June 14, 2018 |
| Amended Ticket Distributor Registration |
New York | June 14, 2018 |
| Broker-Dealer Application Requirements And Cover Sheet |
Indiana | June 12, 2018 |
| Minimum Financial Requirements Worksheet |
California | June 8, 2018 |
| Application By Notification For Broker Dealer Certificate |
California | June 8, 2018 |
| Verification Form Pursuant To California Code Of Regulations Rule 260.241.2(b) {260.241.2(b)} |
California | May 17, 2018 |
| Pre-Need Funeral Contract Sales Annual Report |
North Dakota | March 30, 2018 |
| Notice Of Sale Of Securities |
Mississippi | March 30, 2018 |
| Complaint Form |
Idaho | January 4, 2018 |
| Real Estate Related Information Required Pursuant To Corporations Code Section 25102.2 |
California | January 4, 2018 |
| Impoundment Agreement |
North Dakota | May 19, 2017 |
| Termination Of Registration As Paid Solicitor Agent |
Georgia | May 11, 2017 |
| Application For Registration As Solicitor Agent |
Georgia | May 11, 2017 |
| Complaint Report (Investor) |
Washington | May 1, 2017 |
| Public Records Request |
Washington | May 1, 2017 |
| Notification Of Claim Exemption (Nonprofit Organization) |
Washington | May 1, 2017 |
| Debenture Company Quarterly Report Form |
Washington | May 1, 2017 |
| Guarantee Of Performance (Franchise) |
Washington | May 1, 2017 |
| Franchise Registration Application |
Washington | May 1, 2017 |
| Franchise Impound Agreement |
Washington | May 1, 2017 |
| Annual Notice Of Claim Of Exemption (Franchise) |
Washington | May 1, 2017 |
| Application For Franchise Broker License |
Washington | May 1, 2017 |
| Business Opportunity Application |
Washington | May 1, 2017 |
| Clean Hands Form |
District Of Columbia | March 6, 2017 |
| Statement Of Claim For Exemption Of Securities Of New Generation Processing Entity |
Missouri | February 28, 2017 |
| Form Of Prospectus For Registration Of Securities By Qualification |
Missouri | February 28, 2017 |
| Broker Dealer Affidavit |
Missouri | February 28, 2017 |
| Consent To Service Of Process |
California | December 23, 2016 |
| Idaho Investment Adviser Representative Registration And Exemption Information |
Idaho | November 30, 2016 |
| Debt Management Deposit Of Cash Or Securities In Lieu Of Bond |
Michigan | November 30, 2016 |
