|
Securities Divisions 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 .zip or self-extracting .exe format. Broker-Dealer Packet - Contains information and forms to register as a dealer in Arizona. Also, contains salesman registration requirements. After clicking on the link above, please choose the "Save To Disk" option before running the .EXE file. Notice to Prospective Dealers (02-28-01) Please Note: As of March 1, 2001, Arizona will no longer directly be accepting the filing fee for new/amended dealer applications. Instead, the fee for dealer applications filed in Arizona on or after March 1, 2001, should be remitted to the NASD Regulation, Inc. directly through its CRD system. If you have any questions, please call the Securities Division at 602/542-4242 Investment Adviser - Contains an information packet, instructions, and forms for Investment Adviser and Investment Adviser Representative licensing & notice filing. CER Form - Form required to be filed with a Coordinated Equity Review registration application Complaint Form - 18 KB Form ADV - Uniform application form to license as an Investment Adviser Form ADV-W - Uniform form used to withdraw or terminate an investment adviser license (available from the SEC or the Division) Form BD - Uniform form to register as a dealer Form BDW - Uniform form used to withdraw or terminate dealer registration (Available from the NASD or the Division) 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. Issuer Dealer Packet - Lists information required for an issuer to register as a dealer in Arizona to sell its own securities. After clicking on the link above, please choose the "Save To Disk" option before running the .EXE file. Public Records Reproduction Request and Instructions - Contains the form required for obtaining copies of public records and documents. List Request and Instructions - Use this form to request a list of firms or individuals registered by the Securities Division. Raising Capital Overview - Document providing an overview of registration of public offerings, private offerings, and exemptions from registration ULOR/SCOR Packet - Contains information regarding ULOR/SCOR offerings [offerings of up to $1,000,000 and pursuant to SEC Rule 504] and the Western Regional Review Program. After clicking on the link above, please choose the "Save To Disk" option before running the .EXE file.
|
