Securities Forms

Below is a list of forms available from the Securities Division.

Registrations, Notifications, and Exemptions:

• Claim for Exemption from Securities Registration - Form N-9 (revised 12/12)
• Solicitation of Interest Form (revised 12/10)
• Year End Securities Sales Report - Form 500-3 (revised 12/10)
• Uniform Application to Register Securities - (U-1) 
• Uniform Consent to Service of Process - (U-2) 
• Uniform Corporation Resolution - (U-2A) 
• Uniform Investment Company Notice Filing - (NF) 
• Small Corporation Offering Registration S.C.O.R. (U-7)

Broker-Dealer Licensing: 

• Broker-Dealer Registration - (Form BD) 
• Request for Broker-Dealer Withdrawal - (Form BDW)
• FINRA Branch Office Registration - (Form BR)
• Salesperson Form - Uniform Application for Securities Industry Registration or Transfer - (U-4) 
• Agent Termination Form - Uniform Termination Notice for Securities Industry Registration - (U-5) 
• Exams Form - Uniform Examination Request for Non-FINRA Candidates - (U-10)

Investment Adviser Licensing: 

• Form ADV
• Form ADV-W
• Salesperson Form - Uniform Application for Securities Industry Registration or Transfer - (U-4)
• Agent Termination Form - Uniform Termination Notice for Securities Industry Registration - (U-5)
• Exams Form - Uniform Examination Request for Non-FINRA Candidates - (U-10)
  

Complaints:

• Investor Complaint Form