Securities Licensing
Page 3 of 4
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Series 65 and 66 Examination Adopted for Investment Adviser Agents
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Order Concerning Filings Through the IARD for Investment Advisory Firms
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Employers of Agents Seeking Multiple Registration Exempt from Joint and Several Undertaking
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Order Exempting Connecticut Branch Offices from On-Site Manager Requirement
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Transactions by a Foreign Broker-dealer Exempt from Federal Registration