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Affidavit of Adviser Activity in Arizona:
Fingerprint Instruction Packet (Non-AZ Residents Only):
Fingerprint Electronic Card Packet (AZ Residents Only):
Form U-5 :
Intrastate Crowdfunding Exemption Notice Filing Form
Investor Complaint Form - English:
Public Records Reproduction Request:
List Request and Instructions:
Registration Quick Links
Registration of Securities
Registration Exemptions
Registration and Licensure Exemptions
Forms