Forms and Fees
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Dealer and Investment Adviser Registration
- Form BR
- Fee Schedule - Dealer/Agent, Investment Adviser/Investment Adviser Representative Registration and Notice Filing Fees*
- Request for Reduced Fees for Certain Persons Registered in Multiple Capacities (Form 133.36)*
- Form U-4 - Uniform Application for Securities Industry Registration or Transfer
- Form U-5 - Uniform Termination Notice for Securities Industry Registration
- Form BD - Uniform Application for Broker Dealer Registration
- Form U-2 - Uniform Consent of Service of Process
- Certification of Balance Sheet
- Investment Adviser Form (Form ADV, schedules, and instructions)
Securities Registration, Notification, and Exemption
- Fee Schedule - Securities Registration, Notice Filing and Exemption Fees
- Power of Attorney (Form 133.8)*
- Form U-1 - Application to Register Securities
- Form U-2 - Uniform Consent of Service of Process
- Form NF - Uniform Investment Company Notice Filing
- Form D - Notice of Sales of Securities Pursuant to Regulation D
- Requirements for Regulation D Offerings
- Model Accredited Investor Exemption Uniform Notice of Transaction