Alaska Securities Forms
- SEC Forms / Broker-Dealer Form: X-17A-5 Part II FOCUS Report, Part II SEC1695
- SEC Forms / Broker-Dealer Form: X-17A-5 Part II FOCUS Report, Part II Instructions SEC1695A
- SEC Forms / Broker-Dealer Form: X-17A-5 Part IIA FOCUS Report Part IIa SEC1696
- SEC Forms / Broker-Dealer Form: X-17A-5 Part IIA FOCUS Report Part IIa Instructions SEC1696A
- SEC Forms / Broker-Dealer Form: X-17A-5 Part IIB FOCUS Report, Part IIb (OTC Derivatives Dealer) SEC2430
- SEC Forms / Broker-Dealer Form: X-17A-5 Part III FOCUS Report: Information Required of All Brokers and Dealers Pursuant to Rule 17a-5, Part III SEC1410
- SEC Forms / Investment Adviser Forms: ADV Uniform application for investment adviser registration SEC1707
- SEC Forms / Investment Adviser Forms: ADV-E Certificate of accounting of client securities and funds in the possession or custody of an investment adviser SEC2223
- SEC Forms / Investment Adviser Forms: ADV-H Application for a temporary or continuing hardship exemption SEC2566
- SEC Forms / Investment Adviser Forms: ADV-NR Appointment of agent for service of process by non-resident general partner and non-resident managing agent of an investment adviser SEC2565
- SEC Forms / Investment Adviser Forms: ADV-W Notice of withdrawal from registration as investment adviser
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