Securities Forms

All forms are provided in PDF format and are best viewed with the free Adobe Reader software. Forms with a icon are Fillable Forms and may be filled out on your computer, see PDF instructions.

• FINRA Branch Office Registration - Form BR (FINRA Website)
• Claim for Exemption from Securities Registration - Form N-9
• Checklist for No-Action Letters
• Solicitation of Interest Form
• Acknowledgement of Additional Filing Requirements for Development Stage Companies Registration by Qualification
• Year End Securities Sales Report - Form 500-3
• Notice of Withdrawal of Registration - Form 500-12

The following forms can be downloaded from the North American Securities Administrator Assoc. (NASAA) website at www.nasaa.org

• 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)

The following forms can be downloaded from the Financial Industry Regulatory Authority(FINRA) website at www.FINRA.com

• Branch Office Registration - (Form BR)
• Broker-Dealer Registration - (Form BD)
• Uniform Application for securities Industry Registration or transfer - (U-4)
• Uniform Termination Notice for Securities Industry Registration - (U-5)
• Uniform Examination Request for Non-FINRA Candidates - (U-10)