| Form Name |
Form Description
|
| |
Broker-Dealer Forms |
BD
 |
Uniform Application for Broker-Dealer
Registration |
|
S.A. 11
|
Broker-Dealer’s Surety Bond |
|
S.A. 2
|
Application for Renewal of a Broker-Dealer’s
Registration |
|
BDW
|
Uniform Notice of Termination or Withdrawal
of Registration as a Broker-Dealer |
| |
Agent Forms |
|
S.D. 4
|
Application for Renewal of Registration
as an Agent of an Issuer |
|
S.D.4 A
|
Non-FINRA Broker-Dealer or Issuer Agents
to be Renewed Exhibit |
|
S.D.4 B
|
Non-FINRA Broker-Dealer or Issuer Agents
to be Canceled with no disciplinary history
|
|
S.D.4 C
|
Non-FINRA Broker-Dealer or Issuer Agents
to be Canceled with disciplinary history
|
|
U-4
|
Uniform Application for Securities Industry
Registration or Transfer |
|
U-5
|
Uniform Termination Notice for Securities
Industry Registration |
| Aff |
Affidavit Regarding SCOR Offering |
|
S.A. 16
|
Agent Multiple Employment Agreement |
| |
Investment Advisor Forms |
|
ADV
|
Uniform Application for Registration
of Investment Advisors |
| IA Surety |
IA Surety Bond Form |
|
ADV-W
|
Notice of Withdrawal From Registration
As Investment Advisor |
| |
Investment Advisor Representative Forms
|
|
U-4
|
Uniform Application for Securities Industry
Registration or Transfer |
|
U-5
|
Uniform Termination Notice for Securities
Industry Registration |
|
S.A. 3
|
Affidavit for Waiver of Examination |
|
S.A. 15
|
Investment Advisor Representative Multiple
Employment Agreement |
| |
Securities Registration Forms |
|
U-1 |
Uniform Application to Register Securities
|
|
U-2 |
Uniform Consent to Service of Process
|
|
U-2a
|
Uniform Form of Corporate Resolution
|
|
U-7
|
Small Company Offering Registration -
SCOR |
|
S.A. 4
|
Registration by Notification – Original
Issue |
|
S.A.5
|
Registration by Notification – Non-Issuer
Distribution |
|
S.A.6
|
Registration by Notification – Pursuant
to 21 VAC 5-30-50 Non-Issuer Distribution
"Secondary Trading" |
|
S.A. 8
|
Registration by Qualification |
|
S.A. 12
|
Escrow Agreement |
|
S.A. 13
|
Impounding Agreement |
|
VA-1
|
Notice of Limited Offering of Securities
|
|
NF |
Uniform Investment Company Notice Filing
|
|
SEC
Form D |
Notice of Exempt Offering of Securities |
| Model
Form |
Model Accredited Investor Exemption Uniform
Notice of Transaction Form |
| CR-Equity-1 |
Application
for Coordinated State Review - CR |
CR-SCOR
Mid-Atlantic |
Small
Business Securities Offering Application
for Mid-Atlantic Regional Review Form |
| |
Franchise Forms |
|
A |
Uniform Franchise Registration
Application |
|
B |
Franchisor's Costs and Sources of Funds |
|
C |
Uniform Franchise Consent to Service of Process
|
|
E |
Affidavit of Compliance – Franchise Amendment/Renewal
|
|
F |
Guarantee of Performance |
|
G |
Franchise Surety Bond |
|
H
|
Notice of Claim Exemption |
|
K |
Escrow Agreement |
| CR-FRAN |
Application
for Coordinated Review of Franchise Registration
|
| |
Trademarks/ Service Marks |
|
TM1 |
Application for Registration of a Trademark
or Service Mark |
|
TM2
|
Application for Renewal of Registration
of a Trademark or Service Mark |
|
TM3
|
Certificate of Name Change of an Applicant
or Registrant |
| TM4 |
Assignment of Trademark of Service Mark
Registration – this is a sample, not really
an official form |