Registration and Application Forms with Index for the Investor Protection Bureau
- Consumer Issues
- Registration
- Broker Dealer (Forms BD, U4, and U5 submitted through CRD)
- Salesperson
- Investment Adviser (All forms below submitted through ARD)
- Investment Adviser Temporary/Continuing Hardship Exemption
- Investment Adviser Notice of Withdrawal From Registration
- Investment Advisor Representative (Forms U4 and U5 submitted through CRD)
- Commodity Salesperson
- Commodity Broker/Dealer
- Commodity Inv. Advisor
- Ticket Distributors
- Commodities
- Securities
- Uniform-Reg-A-Tier-2-Notice-Filing-Form
- M-11
- State Notice (Submitted to Department of State where required.)
- Form D - Notice of Exempt Offering of Securities (Submitted through EFD system, efdnasaa.org)
- Theatrical Financing
- Open End Investment companies
- Form NF
- Unit Investment Trusts ("UITs")
- Form NF (File form NF through EFD system)
- Exemption Filing
General:
- Designation of Service of Process Agent
General:
- Uniform Instruction Sheet (Designation Process)
- Form (U-2) (Submitted to the Department of State)
- Uniform Instruction Sheet (Designation Process)
- Security Takeover
- Rules (Part 12)
- Discontinuance of an Offering
- General (ATS-2)
- Notice of Appearance Form
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