Forms

Form 1	Summons to a Witness Before a Person Appointed Under Section 12 or 14 of The Securities Act, 1988
Form 2	Affidavit of Service.
Form 3	Application for Registration as Dealer, Advisor or Underwriter.
Form 4	Uniform Application for Registration Approval.
Form 7	Application for Amendment of Registration as Dealer, Adviser or Underwriter.
Form 8	Application for Withdrawal From Registration.
Form 9	Summons to a Witness Before a Person Designated under section 34 of the Act.
Form 10	Financial Questionnaire and Report.
Form 11	Annual Questionnaire to be Completed by a Portfolio Manager For Its Auditor.
Form 34	Initial Report of Insider.
Form 35	Report by A Registered Owner of Securities Beneficially Owned by an Insider.
Form 36	Report Under Section 126 of the Act.
Form 37	Endorsement of Warrant.
Form 39	Surety Bond.
UTN	Uniform Termination Notice

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