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Annexes
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| Annex
A
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Registration of Securities
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| Annex
B
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Definition of Terms Used In Full Disclosure
Forms
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| Annex
C
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Non-Financial Disclosure Requirements
(Updated 03 March 2004)
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| Annex
D
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| Annex
E
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| Annex
F
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Information Relating to Possession or Control
Requirements Under SRC Rule 49.2-1
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| Annex
G
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Formula for Determination of Reserve
Requirements 1of Broker Dealers Under SRC Rule 49.2-1
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| Annex
H
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Explanation of Books and Records Rule
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| Annex
I
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Customer Account Information Form
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| Annex
J
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General Notes to Financial Statements
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| Annex
K
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Balance Sheet - Form of Statement
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| Annex
L
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Form of Statement(S) of Income
and Retained
Earnings
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| Annex
M
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Form and Content of Schedules
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Forms
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SEC Form
10.1
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Notice of/Application for Confirmation Exempt Transaction
(Updated 26 Sept. 2005)
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SEC Form 12-1
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Registration Statement Under the Securities Regulation Code
(Updated 06 April 2004)
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SEC Form 17-A
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Annual Report Pursuant to Section 17 of the Securities Regulation Code and
Section 141 of the Corporation Code
(Updated 06 April 2004)
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SEC Form 17-C
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Current Report Under Section 17 of the Securities Regulation Code and SRC
Rule 17(B)(3) Thereunder (Updated 03
March 2004)
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SEC Form 17-EX
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Notification of Suspension of Duty to File Reports Under Section
17 of the Securities Regulation Code
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SEC
Form 17-IS
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Information
Statement Pursuant to Section 17.1(B) of the Securities Regulation Code
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SEC Form 17-L
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Notification of Inability to File All or Any Portion of Sec Form 17-A or
17-Q
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SEC Form 17-Q
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Quarterly Report Pursuant to Section 17 of the Securities Regulation Code
and SRC Rule 17(2)(B) Thereunder
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SEC
Form 18-A
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Report By Owner of More Than Five Percent
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SEC Form
18-AS
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Short Form Report by Certain Institutional Owners of More than
Five Percent
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SEC Form 19-1
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Tender
Offer Report
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SEC Form 20
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Proxy Statement Pursuant to Section 20 of the Securities Regulation Code
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SEC
Form 20-IS
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Information Statement Pursuant to Section 20 of the Securities Regulation Code
(Updated 03 March 2004)
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SEC Form 23-A
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Initial Statement of Beneficial Ownership of Securities (Updated
03 March 2004)
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SEC Form 23-B
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Statement of Changes In Beneficial Ownership of Securities (Updated
03 March 2004)
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SEC Form 28-BD/28-BDA
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Application for Registration as a Broker Dealer and Amendments Thereto
(Download in
PDF) Updated
20 Oct. 2006
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SEC Form 28.1-1
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Application for Broker Dealer Registration Renewal -
Updated 10 Oct. 2007
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SEC Form 28.1-1
(BOR)
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Application for Branch Office Registration Renewal -
Updated 10 Oct. 2007
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SEC Form 28.1-4
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Application for Individual Registration Renewal -
Updated 10 Oct. 2007
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SEC Form
28-AP/28-AMD
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Application for Registration as an Associated Person of a Broker Dealer and Amendments Thereto
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Uploaded as of Oct. 2004
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SEC Form
28-S/28-AMD
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Application for Registration as a Salesman of a Broker Dealer and Amendments Thereto
Uploaded
as of Oct. 2004
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SEC Form
28-T
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Notice of Termination as Salesman or Associated Person of a Broker Dealer
Updated 12 Oct. 2006
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SEC Form 28 Mutual Fund
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Application for Registration as a Broker Dealer and Amendments Thereto
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SEC Form 30.1
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Affiliated Transactions Monitoring Sheet
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SEC Form 30.1
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Execution Page
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SEC Form 30.1
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Execution Page Report
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SEC Form 30.1
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Instruction - Affiliated Transactions Monitoring Sheet
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SEC Form 30.1
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Instruction to the Report - Report by Broker Dealers on
Restricted Transactions
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SEC Form 30.1
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Report on Restricted Securities - Report by Broker Dealers on Restricted
Transactions
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SEC Form
ICA-CIS
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Application for Registration as a Certified Investment Solicitor (CIS)
of an Investment Company Adviser/Manager and Amendments Thereto
(Download in
PDF)
Updated 20 Oct. 2006
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SEC
Form ICA-RCIS
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Application for Registration Renewal Certified Investment
Solicitor (CIS)
(Download
in PDF) Updated 7
Nov. 2007
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SEC
Form ICA-CO
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Application for Registration as a Compliance Officer (CO) of
an Investment Company Adviser/Manager and Amendments Thereto
(Download in
PDF) Updated 20 Oct. 2006
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SEC Form ICA-RCO
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Application for Registration Renewal Compliance Officer (CO)
(Download in
PDF) Updated 7 Nov.
2007
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SEC
Form ICA-IA
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Application for Registration as an Investment Company Adviser
and Amendments Thereto (Download in
PDF) Updated 20 Oct. 2006
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SEC
Form ICA-RR
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Application for Registration Renewal Investment Company Adviser/Fund Manager
(Download in
PDF) Updated 7
Nov. 2007
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SEC Form ICA-T
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Notice for Termination of a Certified Investment Solicitor or Compliance Officer
of an Investment Company Adviser / Mutual Fund Distributor
(Download in
PDF) Updated 7 Nov.
2007
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SEC
Form IHU-A
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Application for Registration as an Investment House/Underwriter of
Securities and Amendments Thereto
(Download in
PDF) Updated 20 Oct. 2006
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SEC
Form IHU-Authorization
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Authorization
for Investment House/Underwriter of
Securities and Amendments
(Download in
PDF) Updated
7 Nov. 2007
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SEC
Form IHU/GSED-CO-AP
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Application for Registration as Associated Person/Compliance Officer of an Investment House, Underwriter of Securities and Government Securities Eligible Dealers and Amendments Thereto
(Download in PDF) Updated
7 Nov. 2007
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SEC
Form IHU/GSED-RR
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Application for Registration
Renewal for Investment House, Underwriter of Securities and Government Securities Eligible Dealers
(Download in PDF) Updated
7 Nov. 2007
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SEC Form IH-BO
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Application for Branch Office Registration/Amendment Thereto
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SEC Form IH-BO-RR
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Application for Investment House Branch Office Registration Renewal
(Download in
PDF) Updated 7 Nov.
2007
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SEC Form IHU/GSED-RCO-AP
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Application for Individual Registration Renewal
(Download in
PDF) Updated 7 Nov.
2007
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SEC Form MFD
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Application for registration as Mutual Fund Distributor
(Download in
PDF) Updated
7 Nov. 2007
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