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SEC
anonymous 2/8/2008 | 0 (0) | 436 | 8 | 0 | English
Form BD Uniform Application for Broker-Dealer Registration OMB Number: 3235-0012 Expires: November 30, 2010 Estimated average burden hours per response. . . . . . . 2.75 per amendment . . . . . . . . 0.33 OMB APPROVAL Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a c ... more>>
anonymous 2/8/2008 | 0 (0) | 119 | 4 | 0 | English
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SIP APPLICATION OR AMENDMENT TO APPLICATION FOR REGISTRATION AS SECURITIES INFORMATION PROCESSOR UNDER THE SECURITIES EXCHANGE ACT OF 1934 GENERAL INSTRUCTIONS FOR PREPARING AND FILING FORM SIP 1. Four copies of Form SIP and Exhibits thereto are to be filed with the Securi ... more>>
anonymous 2/8/2008 | 0 (0) | 150 | 3 | 0 | English
OMB APPROVAL OMB Number: 3235-0018 Expires: October 31, 2008 Estimated average burden hours per response. . . . . . . 0.25 Form BDW Uniform Requestfor Broker-Dealer Withdrawal Persons who to respond to the collection of information contained in this form are not required to respond unless the form displaysSEC 122 (01-08) a currently valid OMB contr ... more>>
anonymous 2/8/2008 | 0 (0) | 116 | 3 | 0 | English
OMB APPROVAL OMB Number: 3235-0083 Expires: February 29, 2008 UNITED STATES Estimated average burden SECURITIES AND EXCHANGE COMMISSION hours per response .......15.0 Washington, D.C. 20549 FORM MSD APPLICATION FOR REGISTRATION AS A MUNICIPAL SECURITIES DEALERPURSUANT TO RULE 15Ba2-1 UNDER THE SECURITIES EXCHANGE ACT OF 1934OR AMENDMENT TO SUCH APP ... more>>
anonymous 2/8/2008 | 0 (0) | 120 | 3 | 0 | English
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-1A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ? Pre-Effective Amendment No. _____ ? Post-Effective Amendment No.____ ? and/or REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 ? Amendment No. _____ (Check appropriate box or boxes.) (Exact Name ... more>>
anonymous 2/8/2008 | 0 (0) | 119 | 3 | 0 | English
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SB-2 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 (Amendment No. ____ ) (Name of small business issuer in its charter) State or jurisdiction of (Primary Standard Industrial (I.R.S. Employer Identification No.) incorporation or organization Classification Code Nu ... more>>
anonymous 2/8/2008 | 0 (0) | 115 | 3 | 0 | English
________________________________________________________________________________________________________________________________ ________________________________________________________________________________________________________________________________ ____________________________________________________________________________________________ ... more>>
anonymous 2/8/2008 | 0 (0) | 255 | 3 | 0 | English
Form ADV (provided in PDF format): . Instructions & Glossary . Part 1A (including Schedules A, B, C, D and DRPs) . Part 1B (state-registered advisers only -link to NASAA website) . Part II (including Schedules F, G, and H) . Execution Pages OMB Approval OMB Number: 3235-0049; Expires: July 31, 2008; Estimated average burden per response: 9.402 Fede ... more>>
anonymous 2/8/2008 | 0 (0) | 115 | 1 | 0 | English
__________________________________________________ OMB APPROVAL OMB Number: 3235-0123 Expires: February 28, 2010 Estimated average burden UNITED STATES hours per response. . . . . . 12.00 SECURITIES AND EXCHANGE COMMISSIONWashington, D.C. 20549FOCUS REPORT FORM X-17A-5 SCHEDULE I (To be filed annually as of the end of calendar year) Contents Schedu ... more>>
anonymous 2/8/2008 | 0 (0) | 98 | 1 | 0 | English
SEC 1840 (8-05) Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-27D-1 ACCOUNTING OF SEGREGATED TRUST ACCOUNT For the period from _______________________ ... more>>
anonymous 2/8/2008 | 0 (0) | 102 | 1 | 0 | English
_________________________________________________________ _____________________________________________ _________________________________________ _____________________________________________ _________________________________________ _________________________________________ ___________________________________ _________________ OMB APPROVAL OMB Num ... more>>
anonymous 2/8/2008 | 0 (0) | 125 | 1 | 0 | English
OMB APPROVAL OMB Number: 3235-0456 Expires: June 30, 2009 Estimated average burden hours per response . . . . . . . 2 UNITED STATESSECURITIES AND EXCHANGE COMMISSIONWashington, D.C. 20549FORM 24F-2Annual Notice of Securities SoldPursuant to Rule 24f-2Read instructions at end of Form before preparing Form. 1. Name and address of issuer: 2. The name ... more>>
anonymous 2/8/2008 | 0 (0) | 92 | 1 | 0 | English
OMB APPROVAL OMB Number: 3235-0044 UNITED STATESExpires: April 30, 2009 SECURITIES AND EXCHANGE COMMISSIONEstimated average burden hours per response . . . . . . . . . . . . . 3 Washington, D.C. 20549 FORM X-15AJ-2 File No. Annual Consolidated Supplementof(Name of Association) AS OF MARCH 1, 20____ The attached statement and exhibits consolidate th ... more>>
anonymous 2/8/2008 | 0 (0) | 91 | 1 | 0 | English
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 18-K For Foreign Governments and Political Subdivisions Thereof ANNUAL REPORT of ___________________________________________ (Name of registrant) Date of end of last fiscal year________________________ SECURITIES REGISTERED (As of the close of the fiscal year) Amount as to ... more>>
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_ _______________________________________________________________________________________________________________________________ ____________________________ _ _______________________________________________________________________________________________________________________________ ____________________________ _ ______________________________ ... more>>
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