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- Uniform application form to license as an Investment Adviser.
Affidavit of Adviser Activity in Arizona:
- Document required to be filed in connection with an investment adviser license application.
- Uniform form used to withdraw or terminate an investment adviser license.
- Uniform form to register as a dealer.
- Uniform form used to withdraw or terminate dealer registration.
- Uniform form used for Regulation D offerings (R14-4-126 in Arizona). Also, used with R14-4-140 exemption and ULOR/SCOR offerings.
- Uniform form for notice filings by mutual funds and unit investment trusts (investment companies).
- Uniform application form for securities registration.
- Uniform Consent to Service of Process form.
- Uniform Corporate Resolution form.
- Uniform form to register as a salesman or to license as an investment adviser representative.
Form U-5 :
- Uniform form utilized to withdraw/terminate salesman registration or investment adviser representative licensure.
- Uniform disclosure document (prospectus) for ULOR/SCOR offerings. May also be utilized for Regulation A offerings.
- Uniform examination request form for Non-FINRA Candidates and instructions for submitting form.
Intrastate Crowdfunding Exemption Notice Filing Form
Public Records Reproduction Request:
- Form required for obtaining copies of public records and documents.
List Request and Instructions:
- Form required when requesting a list of firms or individuals registered by the Securities Division.
- Form required when asking for a subpoena compelling a witness to appear at an administrative hearing