Dealer / Salesman Forms

All forms, instructions, and affidavits are in .PDF format. If you don't have Acrobat Reader, please visit http://www.adobe.com to download your free copy. All packets are in self-extracting .exe  format.

The following are NASD forms, which are used in connection with the registration of dealers and salesmen in Arizona.  Forms are also available from the Division in hard copy and may be requested by contacting the Division at (602) 542-4242, or by fax at (602) 594-7470, or by email at accsec@ccsd.cc.state.az.us.

Form BD - Uniform form to register as a dealer

Form BDW - Uniform form utilized to withdraw/terminate dealer registration

Form U-4 - Uniform form to register as a salesman

Form U-5 - Uniform form utilized to withdraw/terminate salesman registration

Form U-10 - Uniform examination request form for non-NASD salesmen and issuer-dealer salesmen.

Broker Dealer Instructions - Lists information required to be filed with the Division to register as a dealer

Salesman Requirements - Lists information about how to register as a salesman