Below is a list of forms available from the Securities Division.

UFT Filings:

The SOS Office Securities Division will now accept filings on the Electronic Filing Depository portal through the “Universal Filing Type” (also known as UFT Filings). 

EFD: Home - Electronic Filing Depository

• Registrations by Coordination
• Registrations by Coordination 
• Registrations by Qualifications 
• Registrations for Reg A, Tier 1 filings  
• Reg A, Tier 2 Notice Filings 
• State Crowdfunding offerings 
• Federal Crowdfunding Notice Filings 
• Reg D, Rule 504 filing 
• Agent of the Issuer filings  

Registrations, Notifications, and Exemptions:

• Claim for Exemption from Securities Registration - Form N-9 
• Solicitation of Interest Form 
• Year End Securities Sales Report - Form 500-3 
• Notice of Withdrawal of Registration - Form 500-12
• Uniform Application to Register Securities - (U-1) 
• Uniform Consent to Service of Process - (U-2) 
• Uniform Corporation Resolution - (U-2A) 
• Uniform Investment Company Notice Filing - (NF) 
• Small Corporation Offering Registration S.C.O.R. (U-7)
• Child Support Statement

Broker-Dealer Licensing: 

• Broker-Dealer Registration - (Form BD) 
• Request for Broker-Dealer Withdrawal - (Form BDW)
• FINRA Branch Office Registration - (Form BR)
• Salesperson Form - Uniform Application for Securities Industry Registration or Transfer - (U-4) 
• Agent Termination Form - Uniform Termination Notice for Securities Industry Registration - (U-5) 
• Exams Form - Uniform Examination Request for Non-FINRA Candidates - (U-10)

Investment Adviser Licensing: 

• Form ADV
• Form ADV-W
• Salesperson Form - Uniform Application for Securities Industry Registration or Transfer - (U-4)
• Agent Termination Form - Uniform Termination Notice for Securities Industry Registration - (U-5)
• Exams Form - Uniform Examination Request for Non-FINRA Candidates - (U-10)

File a Complaint

• File a Complaint Online

• File a Complaint - PDF Version

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