Results for "Hello @Joanna Maskens and @Elena Hauerhof, Here":

28.1-1-BO-AF Application for Payment of Annual Fees for Broker Dealer - Branch Office

SEC application form for payment of annual fees for broker dealer - branch office under the implementation rules and regulations of the securities regulation code

IH-BO-AF Application for Payment of Annual Fees for Investment House Branch Office

SEC application form for payment of annual fees for investment house branch office under omnibus rules and regulations for investment House and universal banks registered as underwriter of securities

IHU/GSED-AF Application for Payment of Annual Fees for Investment House/Underwriter of Securities/ Government Securities Eligible Dealers

SEC application form for payment of annual fees for investment house/underwriter of securities/ government securities eligible dealers under the omnibus rules and regulations for investment house and universal banks registered as underwriter of securities

28-BD/28-BDA Application for Registration as a broker dealer and Amendments

SEC registration form for broker dealer/government securities eligible dealer including branch office

ICA-CIS Application for Registration as a Certified Investment Solicitor of an investment Company Adviser/Manager and Amendments

SEC registration of a certified investment solicitor of an investment company adviser/manager under section 40 of the investment company act

ICA-IA Application for Registration as an Investment Company Adviser and Amendments

SEC registration form for Investment Company Adviser

IHU-A Application for Registration as an Investment House/ Underwriter of Securities and Amendments

SEC registration form for investment house/underwriter of securities

IHU/GSED-CO-AP Application for Registration as Associated Person/Compliance Officer of an Investment House, Underwriter of Securities and Government Securities Eligible Dealers and Amendments

SEC application for registration of associated person/ compliance officer of investment house/underwriter of securities and government securities eligible dealers under SEC memorandum circular no. 8, series of 2004

42-CA/ 42-SD/42-SRO/42-AMD Application for Registration as Clearing Agency, Securities Depository, Self Regulatory Organization and Amendments

SEC registration form for clearing agency, securities depository, self rgulatory organization and amendments under SRC Rule 42.1

42-SD Application for Registration as Clearing Agency, Securities Depository, Self Regulatory Organization and Amendments

SEC registration form for clearing agency, security depository and self regulatory organization