Uniform Application To Register Securities Form
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Regulatory Notice 14-33 - FINRA
finra.complinet.com2 Regulatory Notice 14-33 etogic NASD Rule 1022(a) (General Securities Principal) requires that a “principal” qualify and register as a General Securities Principal,2 unless the person’s activities are so limited as to qualify such person for one or more of the limited categories of principal registration,
PART I—APPLICATION FOR ACCESS CODES TO FILE ON …
www.sec.govFORM ID must be fled by all applicant types listed on this Form, or their agents, to whom the Commission previously has not assigned a Central Index Key (CIK) code, to request the following access codes to permit fling
STATE OF NEW JERSEY UNCLAIMED PROPERTY …
www.unclaimedproperty.nj.govSTATE OF NEW JERSEY . UNCLAIMED PROPERTY ADMINISTRATION (UPA) HOLDER REPORTING PACKET. This reporting instruction packet is designed to provide the older H of Unclaimed Property with
IRB 1999-6 2/3/99 1:39 PM Page 1 Internal Revenue bulletin ...
www.irs.govThe Internal Revenue Bulletin is the authoritative instrument of the Commissioner of Internal Revenue for announcing offi-cial rulings and procedures of the Internal Revenue Service
Name Approval Requirements - naic.org
www.naic.orgThe Articles of Incorporation and any amendments are approved by the Connecticut Insurance Commissioner prior to being filed with the Office of the Secretary of State.