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Forms for Registration, Licensing, etc.

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The following forms may be downloaded for submission to the Securities Compliance Branch.

Folder Broker-Dealer Registration
 
Folder Investment Adviser Registration
 
Folder Franchise Filings
 
Link Professional Fund Raising Counsel and Professional Solicitor Filings
Effective July 1, 2005, these filings are now administered by the Department of the Attorney General.
Folder Registration of Securities by Qualification
 
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Tung Chan

Commissioner

Tung Chan