Regulatory Compliance Templates

This document provides a checklist for conducting a compliance review in the state of New Jersey. It helps ensure that businesses and organizations are following the necessary laws and regulations.

This form is used for certifying the threshold in North Carolina. It provides instructions on how to complete Form CRO-3600.

This Form is used for filing Focus Reports by certain broker-dealers.

This Form is used for registering securities of unit investment trusts under the 1933 Act, specifically for trusts registered on Form N-8b-2.

This Form is used for filing the X-17A-5 Part IIA Focus Report with the SEC. The report provides detailed information about a broker-dealer's financial condition and operations. It includes information about net capital, customer reserve funds, and other financial indicators.

This form is used for the Voluntary Remediation Program Annual Report in the state of Indiana.

This type of document provides instructions for submitting Form H-1, which is used to apply for permission to inject fluid into an oil or gas reservoir in Texas.

This document provides information on the exception data sheet required under Statewide Rule 10 in Texas.

This form is used for applying to the Voluntary Cleanup Program in Texas. The program allows individuals and companies to voluntarily clean up contaminated sites to meet state environmental standards.

This form is used for applying for an oil, gas, and hydrocarbon lease in Utah. It allows individuals or companies to request permission to explore and extract these natural resources in the state.

This document is a Viatical Settlement Provider Bond required by the state of Oklahoma. It ensures that viatical settlement providers comply with regulations and protects consumers.

This document is a checklist for applying for a license to operate a consumer fireworks facility in Pennsylvania. It provides a step-by-step guide and requirements for obtaining the license.

This Form is used for applying for a Narcotic Treatment Program for controlled substances in the state of South Carolina.

This Form is used for registering or deleting X-ray producing machines in South Carolina.

This Form is used for Authorized User Training, Experience, and Preceptor Attestation for Uses Defined Under 35.400 and 35.600 in Utah.

This form is used for small businesses in Utah to seek assistance from the Utah Department of Environmental Quality (DEQ).

This document is a reference statement for professional engineers in the state of Texas. It verifies the qualifications and experience of the engineer for professional purposes.

This document provides instructions for filling out and submitting Form H-4, which is used to apply for a permit to create, operate, and maintain an underground hydrocarbon storage facility in Texas.

This Form is used for reporting violations of the Lp-Gas Safety Rule in Texas.

This form is used for applying for a license to operate a hospital in the state of South Dakota.

This document is a self-assessment tool for providers in South Carolina who are seeking interim Ddsn licensure during the Covid-19 state of emergency. It helps providers evaluate their readiness and compliance with licensing requirements.

This document is used to apply for a special use permit in Utah.

This document is used to apply for a liquor transport license in the state of Utah.

This document is for applying for an original license for deferred presentment loans in the state of Alabama. It is used by companies who want to offer these types of loans to customers.

This form is used for creating a Corrective Action Plan in the state of Michigan. It is used to document the steps that will be taken to address and resolve any identified issues or deficiencies.

This document is a compliance plan specific to the state of Georgia in the United States. It outlines the requirements and guidelines for businesses to follow in order to ensure legal compliance within the state.

This Form is used for applying for product evaluation in the state of New Mexico.

This Form is used for a Motor Carrier Public Liability Surety Bond required under Section 18 of the Bus Regulatory Reform Act of 1982.