Dealer and Investment Adviser Registration
- Fee Schedule - Dealer/Agent, Investment Adviser/Investment Adviser Representative Registration and Notice Filing Fees (through 8/31/2015) (beginning 9/1/2015)
- Form BR
- Form U-4 - Uniform Application for Securities Industry Registration or Transfer
- Form U-5 - Uniform Termination Notice for Securities Industry Registration
- Form U-6 - Uniform Disciplinary Action Reporting Form
- Form BD - Uniform Application for Broker Dealer Registration
- Form U-2 - Uniform Consent of Service of Process
- Investment Adviser Forms (ADV, ADV-W, ADV-E, schedules, and instructions)
- Form PF - ReportingForm for Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors
Securities Registration, Notification, and Exemption
- Fee Schedule - Securities Registration, Notice Filing and Exemption Fees (through 8/31/2015) (beginning 9/1/2015)
- Form U-1 - Application to Register Securities
- Form U-2 - Uniform Consent of Service of Process
- Form U-CF - Uniform Notice of Federal Crowdfunding Offering Form U-CF
- Form NF - Uniform Investment Company Notice Filing
- Form USR-1 - Investment Company Report of Sales (Form 133.10)
- Form D - Notice of Sales of Securities Pursuant to Regulation D
- Model Accredited Investor Exemption Uniform Notice of Transaction
- NASAA SCOR Forms:
- Small Company Offering Registration Form (U-7) Adopted September 28, 1999
- Issuer’s Manual for Form U-7 Adopted September 28,1999