Department of Finance

Securities Application Requirements, Forms and Fees

• Application Fees: Word
• Opinion & No-Action Requests
• No-Action and Opinion Letters

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Securities Offerings

• Exemption Filing Requirements
• Regulation D Rule 505 Filing Requirements
• Regulation D Rule 506 Filing Requirements
• Federally Covered Securities Notice Filing Requirement
  • Notice Filing of Mutual Funds and Unit Investment Trusts Checklist: Word | PDF
  • Regulation D Rule 506 filing requirements
• Registration by Coordination filing requirements: Word | PDF
• Registration by Qualification filing requirements: Word | PDF
• SCOR/U-7 Registration
• Help for Small Business in Capital Formation

Forms:

• Form D
• Form U-1 - Uniform Application to Register Securities: Word | PDF
• Form U-2 - Uniform Consent to Service of Process: Word | PDF
• Form NF - Uniform Investment Company Notice Filing: Word | PDF
• SCOR/New Form U-7
• SCOR/Reg A Old Form U-7: Word | PDF
• Coordinated Review - SCOR - West: PDF
• Quarterly Report Form for Small Mining Issues: Word | PDF
• Impound Agreement: Word | PDF
• Stock Escrow Agreement: Word | PDF
• Industrial Revenue Bond Issuers: Word | PDF

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Agent of Issuer Registration:

• Agent of Issuer Application filing requirements: Word | PDF
• FINRA (formerly NASD) Exam Information

Forms:

• Form U-4: PDF
• Form U-4 Instructions: PDF
• Indemnity Bond: Word | PDF
• Renewal Application: Word | PDF

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Investment Adviser Registration:

• Investment Adviser Application Procedures and Information: Word | PDF
• Investment Adviser Representative Registration and Exemption: Word | PDF
• Avoiding Common Deficiencies Found in Investment Adviser Applications: Word | PDF
• Investment Adviser Financial Reporting requirements
• FINRA (formerly NASD) Exam Information
• Investment Adviser Licensee List
• FAQ

Forms:

• Indemnity Bond for Investment Adviser: Word | PDF

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Broker/Dealer Registration Issues:

• Broker/Dealer and Agent Registration: Word | PDF
• Broker/Dealer Financial Reporting requirements
• FINRA (formerly NASD) Exam Information
• Broker/Dealer Licensee List
• FAQ