Securities Division
Matthew J. Neubert - Director

1300 W. Washington St. 3rd Floor
Phoenix, AZ 85007
(602) 542-4242
(866) 837-4399
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Securities Division Forms
 
Some forms are provided in .PDF format.  If you don't have Acrobat Reader,
 
please visit http://www.adobe.com to download your free copy.


Form ADV: 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.
 
 
No Sales Affidavit: document required to be filed in connection with a non-FINRA dealer or issuer-dealer registration application.
 
 
Form ADV-W: uniform form used to withdraw or terminate an investment adviser license.
 
 
Form BD: uniform form to register as a dealer.
 
 
Form BDW: uniform form used to withdraw or terminate dealer registration.
 
 
Form D : uniform form used for Regulation D offerings (R14-4-126 in Arizona). Also, used with R14-4-140 exemption and ULOR/SCOR offerings.
 
 
Form NF: uniform form for notice filings by mutual funds and unit investment trusts (investment companies).
 
 
Form U-1: uniform application form for securities registration.
 
 
Form U-2: uniform Consent to Service of Process form.
 
 
Form U-2A: uniform Corporate Resolution form.
 
 
Form U-4: 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.
 
 
Form U-7: uniform disclosure document (prospectus) for ULOR/SCOR offerings. May also be utilized for Regulation A offerings.
 
 
Form U-10: uniform examination request form for Non-FINRA Candidates and instructions for submitting 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.
 
Subpoena Forms: form required when asking for a subpoena compelling a witness to appear at an administrative hearing.
 
 
 

 

 

 

 

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