Notice Filing For Third Party Brokerage Arrangements On Financial Entity Premises Pursuant To 139.20
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Notice Filing For Third Party Brokerage Arrangements On Financial Entity Premises Pursuant To 139.20 Form. This is a Texas form and can be use in Blue Sky Secretary Of State.
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Tags: Notice Filing For Third Party Brokerage Arrangements On Financial Entity Premises Pursuant To 139.20, 133.9, Texas Secretary Of State, Blue Sky
Form
133.9
Notice Filing for Third Party Brokerage Arrangements on Financial Entity Premises
Pursuant to ยง139.20
1.
Name of Financial Entity:
2.
Address of Financial Entity:
3.
Designated Officer/Contact:
4.
Name of Registered General Dealer Providing Services:
5.
Is the financial entity currently the subject of any litigation or arbitration relating in any
way to the offer or sale of securities?
( ) Yes
( ) No
By:
(Full Name - Printed or Typed)
(Signature)
Date:
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