Andy Tobin
Commissioner
Tom Forese
Commissioner
Doug Little
Chairman
Bob Stump
Commissioner
Bob Burns
Commissioner

 

 

         

Securities Division

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.
 
  
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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