Securities Division

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.

AZ Securities Fingerprinting Instructions:

• Electronic background check.

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.

Dual Agent Form:

• Sample dual agent employment agreement and undertaking form.

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.