SECURITIES / SMALL BUSINESS 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.

Raising Capital Overview: Document providing an overview of registration of public offerings, private offerings, and exemptions from registration.

Registration Packet: Contains Form U-1; Form U-2; and Form U-2A.  After clicking on the link above, please choose the "Save To Disk" option before running the .EXE file.

Form U-1: Uniform Registration Application Form – Utilized for Registration by Qualification; Registration by Description; Regulation A offerings; ULOR/SCOR offerings; Coordinated Equity Review offerings; and Western Regional Review offerings.

Form U-2: Uniform Consent to Service of Process Form – Required for non-Arizona applicants [Registration by Qualification; Registration by Description; Regulation A offerings; ULOR/SCOR offerings; Coordinated Equity Review offerings; Western Regional Review offerings; R14-4-101, R14-4-102, and investment companies (mutual funds and unit investment trusts)]

Form U-2A: Uniform Corporate Resolution Form [Registration by Qualification; Registration by Description; Regulation A offerings; ULOR/SCOR offerings; Coordinated Equity Review offerings; and Western Regional Review offerings]

Form NF: Uniform Form utilized for investment companies (mutual funds and unit investment trusts) to file notice filings

CER Packet: Contains information regarding the Coordinated Equity Review Program, including Form CER-1; General Information Regarding Coordinated Equity Review; Checklist for Coordinated Equity Review; Coordinated Equity Review Program Protocol; Summary of Statements of Policy and the following NASAA Statements of Policy: Corporate Securities Definitions; Impoundment of Proceeds; Loans and Other Material Affiliated Transactions; Options and Warrants; Preferred Stock; Promoter’s Equity Investment; Promotional Shares; Specificity in Use of Proceeds; Underwriting Expenses and Underwriter’s Warrants; Unsound Financial Condition; and Voting Rights.  After clicking on the packet link above, please choose the "Save To Disk" option before running the .EXE file.

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, including, Form U-7, cover letter, issuer dealer instructions, ULOR Info, ULOR affidavit, and non-NASD affidavit; Form U-1; Form U-2; and Form U-2A. After clicking on the packet link above, please choose the "Save To Disk" option before running the .EXE file.

Form U-7: Uniform disclosure document (prospectus) for ULOR/SCOR offerings. May also be utilized for Regulation A offerings. Introduction, Instructions, and Requirements, Statement of Policy Regarding Small Corporate Offering Registrations, Form U-7 Issuer's Manual

Issuer Dealer Packet: Lists information required for an issuer to register as a dealer in Arizona to sell its own securities. Includes Instructions, Salesman Requirements, No Sales Affidavit, Non-NASD Affidavit, Form BD, and Form U-4.  After clicking on the packet link above, please choose the "Save To Disk" option before running the .EXE file.

Form D: Uniform Form utilized for Regulation D offerings [R14-4-126] Also, used for R14-4-140 offerings

Viatical or Life Settlement Investment Contracts:  Contains information regarding form of exemption filing [A.R.S. § 44-1850]

For information and guidance regarding SEC filings, please see Small Business Information at /divisions/securities/