-IR- Database Guide
-IR- Database: IAC and IR Search

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IAC: Annually
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IAC: 2003 Edition
IR: October 2000, Volume 24
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Advanced Search
(Documents since July 2, 2006)
LSA Doc Number:    -
Title:  


Number of matches: 242

1.   [2005] Title 710 Securities Division   (PDF)
...  listing or on a business card or letterhead, which listing, card, or letterhead also sets forth the address and telephone number of the branch office or office of supervisory jurisdiction of  ...

2.   [2003] Title 710 Securities Division   (PDF)
...  , or letterhead also sets forth the address and telephone number of the branch office or office of supervisory jurisdiction of the broker-dealer from which the person conducting business at the  ...

3.   [2010] 710 IAC 1 General Provisions   (PDF)
...  jurisdiction of the broker-dealer from which the person conducting business at the nonbranch location is directly supervised. (B) Any location referred to in a broker-dealer's advertisement by its  ...

4.   [2009] 710 IAC 1 General Provisions   (PDF)
...  jurisdiction of the broker-dealer from which the person conducting business at the nonbranch location is directly supervised. (B) Any location referred to in a broker-dealer's advertisement by its  ...

5.   [2008] 710 IAC 1 General Provisions   (PDF)
...  of supervisory jurisdiction of the broker-dealer from which the person conducting business at the nonbranch location is directly supervised. (B) Any location referred to in a broker-dealer's  ...

6.   [2007] 710 IAC 1 General Provisions   (PDF)
...  also sets forth the address and telephone number of the branch office or office of supervisory jurisdiction of the broker-dealer from which the person conducting business at the nonbranch  ...

7.   [2006] 710 IAC 1 General Provisions   (PDF)
...  telephone number of the branch office or office of supervisory jurisdiction of the broker-dealer from which the person conducting business at the nonbranch location is directly supervised. (B) Any  ...

8.   [2004] Title 710 Securities Division   (PDF)
...  forth the address and telephone number of the branch office or office of supervisory jurisdiction of the broker-dealer from which the person conducting business at the nonbranch location is  ...

9.   [Latest Update] 710 IAC 4 UNIFORM SECURITIES   (PDF)
...  %) or more of any class of equity securities has been convicted in any jurisdiction within five (5) years prior to the commencement of the offering of any felony or misdemeanor: (A) in  ...

10.   [2022] 710 IAC 4 Uniform Securities   (PDF)
...  , or any of its directors, officers, general partners, or beneficial owners of ten percent (10%) or more of any class of equity securities has been convicted in any jurisdiction within five (5  ...

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Number of matches: 242

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