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Securities Record Requests

All filings submitted for registration or exemption are available to the public, including applications, financial disclosures, and annual reports.
To review a registration file, call 651-539-1627 to schedule an appointment and to confirm that the file is available. Files cannot be taken out of the department; photocopies can be made at the department for 15 cents per page (please bring adequate change to cover costs). The department will make photocopies of files at a cost of $.50 per page, to be paid in advance by check made payable to the Department of Commerce.