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Licensing Fees under the Connecticut Uniform Securities Act
Securities Licensing Information
Persons Displaced as a Result of Hurricane Katrina or Rita (No-Action Determination)
Fees Waived for Military Duty Personnel
Employers of Agents Seeking Multiple Registration Exempt from Joint and Several Undertaking
Order Governing Use of the Internet by Securities Industry
Extension of Hurricane Katrina No-Action
Amended IA Client Counting Order
Client Defined for Connecticut DeMinimis Exemption for Investment Advisers
Dodd-Frank IA Exemptive Order
Dodd-Frank IA Filing Deferral Order
See if an Investment Adviser is Registered
Order Governing Federally Exempt Investment Advisers
Securities Industry Personnel Testing Requirements
