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.
Affidavit of Adviser Activity in Arizona:
- Document required to be filed in connection with an investment adviser license application.
Fingerprint Card Packet:
- Fingerprint packet including submission cover sheet, instructions and verification form.
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.
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.
Intrastate Crowdfunding Exemption Notice Filing Form
Investor Complaint Form - English:
- A printable PDF version of the Investor Complaint Form. The online version can be found here.
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.