Division of Securities Forms and Fees

Forms

Form ADV Part 1A: Writable form - must be downloaded in order to enter information.

Form ADV Part 1B: Writable form - must be downloaded in order to enter information.

Form ADV Part 2: Instructions and glossary for filing.

Form ADV-W: Notice of withdrawal from registration as an investment adviser. Writable form - must be downloaded in order to enter information.

Form AE: Affidavit of Eligibility. Writable form -- must be downloaded in order to enter information.

Form BD: Uniform application for broker-dealer registration. Writable form -- must be downloaded in order to enter information.

Form BDW: Uniform request for broker-dealer withdrawal. Writable form -- must be downloaded in order to enter information.

Form CF-1: Writable form - must be downloaded in order to enter information.

Form CF-2: Writeable form - must be downloaded in order to enter information.

Form CF-3: Writeable form - must be downloaded in order to enter information.

Form CF-4: Writeable form - must be downloaded in order to enter information.

Form D: File paper copy with the Division after submission of "SEC EDGAR" electronic filing (link under "document").

Form ES: Escrow release form required by §11-51-302(6)(b) and Rule 3.4(c). Writable form -- must be downloaded in order to enter information.

Form ES-CF: Escrow release form for crowdfunding offerings. Writeable form - must be downloaded in order to enter information.

Escrow Form: Escrow form. 

Form NF: Uniform investment company notice filing for an investment company exemption under §11-51-307(1)(k). Writable form -- must be downloaded in order to enter information.

Form RC-C: Closing form for Registration by Coordination. Writable form -- must be downloaded in order to enter information.

Form RL: Registration by Limited Offering Qualification. 

Form RQ: Registration by Qualification. Writable form -- must be downloaded in order to enter information.

Form RQV: Viatical Application. Writable form -- must be downloaded in order to enter information.

Form ST: Exemption for certain non-issuer distributions.

Form U-1: Uniform application to register securities.

Form U-2: Uniform consent to service of process. Writable Form -- must be downloaded in order to enter information.

Form U-2A: Uniform corporate resolutions. Writable form -- must be downloaded in order to enter information. 

Form U-4: Instructions for completion.

Form U-5: Instructions for completion. 

Form U-7: Small company offering registration form.

Issuer's Manual for Form U-7: Instructions for completing items in the Form U-7.

Form U-CF: Uniform Notice of Federal Crowdfunding Offering.

Form U-SB: Uniform surety bond.

Regulation A Tier 2 Notice Filing Form: Pursuant to Section 18(b)(3), (b)(4), and/or (c)(2) of the Securities Act of 1933

MAIE Exemption: Model Accredited Investor Exemption Uniform Notice of Transaction

Form ME: Notice of claim of exemption from registration for certain municipal securities. Writable Form -- must be downloaded in order to enter information.

Form TR: Notice of Registration for Local Government Investment Pool Trust Funds

Viatical Post-Sale Form: Disclosure document.

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