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Bureau:
Investor Protection (IPB)

COMMODITY BROKER-DEALERS, SALESPERSONS AND INVESTMENT ADVISORS PART 13

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Bureau:
Investor Protection (IPB)

COMMODITY BROKER/DEALER STATEMENT

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Bureau:
Investor Protection (IPB)

COVERSHEET TO ACCOMPANY INVESTMENT ADVISER FORMS

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Bureau:
Investor Protection (IPB)

Federal Covered Investment Company Dealers (formerly Open End Investment Companies) Heading > Form NF

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Bureau:
Investor Protection (IPB)

FORM ADV (Paper Version) UNIFORM APPLICATION FOR INVESTMENT ADVISER & REPORT BY EXEMPT REPORTING ADVISERS

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Bureau:
Investor Protection (IPB)

FORM ADV (Paper Version) UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION PART 1B

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Bureau:
Investor Protection (IPB)

FORM ADV (Paper Version) UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION PART 2: Uniform Requirements for the Investment Adviser Brochure and Brochure Supplements

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Bureau:
Investor Protection (IPB)

FORM ADV DOMESTIC INVESTMENT ADVISER EXECUTION PAGE

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Bureau:
Investor Protection (IPB)

Form ADV-H APPLICATION FOR A TEMPORARY OR CONTINUING HARDSHIP EXEMPTION

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Bureau:
Investor Protection (IPB)

Form ADV: General Instructions

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Bureau:
Investor Protection (IPB)

Form BD Uniform Application for Broker-Dealer Registration

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Bureau:
Investor Protection (IPB)

Form BDW Uniform Request for Broker-Dealer Withdrawal

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Bureau:
Investor Protection (IPB)

Form CADV COMMODITY INVESTMENT ADVISOR STATEMENT

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Bureau:
Investor Protection (IPB)

Form D - Notice of Exempt Offering of Securities (Submitted through EFD system, efdnasaa.org)

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Bureau:
Investor Protection (IPB)

Form NY-IASW Special Waiver Qualification Under 13 NYCRR 11.7(b) for Investment Adviser Representatives of State Registered Investment Advisers or Federally Covered Investment Advisers

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Bureau:
Investor Protection (IPB)

Form U4 Uniform Application for Securities Industry Registration or Transfer

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Bureau:
Investor Protection (IPB)

Form U5 Uniform Termination Notice for Securities Industry Registration

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Bureau:
Investor Protection (IPB)

Instructions for Form ADV-W NOTICE OF WITHDRAWAL FROM REGISTRATION AS AN INVESTMENT ADVISER

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Bureau:
Investor Protection (IPB)

INSTRUCTIONS FOR FORM NF

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Bureau:
Investor Protection (IPB)

Investment Adviser Qualification (NY-IAQ)

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Bureau:
Investor Protection (IPB)

M-11

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Bureau:
Investor Protection (IPB)

NY FORM C I - 1 COMMODITY INFORMATION SHEET
(Appendix to Forms CBD and CADV for all principals, officers and directors)

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Bureau:
Investor Protection (IPB)

NY FORM C M-2 COMMODITY SALESPERSON STATEMENT

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Bureau:
Investor Protection (IPB)

NY FORM C M-3 SUPPLEMENT TO N.Y. FORMS CBD and CADV

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Bureau:
Investor Protection (IPB)

NY FORM C M-4 SUPPLEMENTAL COMMODITY SALESPERSON STATEMENT

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