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call the Division at (801) 530-6600 |
Broker-Dealer and Agent Licensing
- Form BD
Uniform Application for Broker-Dealer Registration
- Form BDW
Uniform Request for Broker-Dealer Withdrawal
- Form U-2
 
Uniform Consent to Service of Process
- Form U-2a
Uniform Corporate Resolution
- Form U-4 (instructions)
Uniform Application for Securities Industry Registration or Transfer
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- Form U-5 (instructions)
Uniform Termination Notice for Securities Industry Registration
- Form U-10 (Online Application and Instructions)
Uniform Examination Request for non-FINRA Candidates
- Form 4-5 BA
Indemnity Bond of Agent
- Form 4-5 BBD
Corporate Indemnity Bond of Broker-Dealer
- Form 4-5 EIA
Escrow Agreement
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Investment Adviser and Representative Licensing
- Form ADV Instructions, Part I and Part II (Paper Version) -
- Form ADV Part II
- (5 page Schedule F)
- (15 page Schedule F)
- (25 page Schedule F)
- Form ADV-E
- Form ADV-H
- Form ADV-W
- Form U-2
Uniform Consent to Service of Process
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- Form U-2a
Uniform Corporate Resolution
- Form U-4 (instructions)
Uniform Application for Securities Industry Registration or Transfer
- Form U-5 (instructions)
Uniform Termination Notice for Securities Industry Registration
- Form U-10 (Online Application and Instructions)
Uniform Examination Request for non-FINRA Candidates
- Form 4-5 BIA
Corporate Indemnity Bond of Investment Adviser with Discretion
- Form 4-5 BIA
Corporate Indemnity Bond of Investment Adviser with Custody
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Securities Registration, Exemptions and Notices
- Form U-1
Uniform Application to Register Securities
- Form U-2
Uniform Consent to Service of Process
- Form U-2a
Uniform Corporate Resolution
- Form U-7
Small Company Offering Registration Form (SCOR)
- Form D
Notice of Exempt Offering of Securities
- Form NF
Uniform Investment Company Notice Filing
- Form CER-1
Application for Coordinated State Review
- Form CR-SCOR-WEST-1
Western Regional Review Application Form
- Form 4-5 BI
Corporate Indemnity Bond of Issuer
- Form 4-5 EIA
Escrow Agreement
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- Form 9-1
Closing Report: Registration by Coordination
- Form 10-2-1
Application for Registration by Qualification
- Form 10-2-1A
Closing Report: Registration by Qualification
- Form 10-2-1B
Certification: Registration by Coordination
- Form 11
Application for Hearing for Certain Exchanges of Securities
- Form 11-7b
Fund Impound Agreement
- Form 14-2n
Uniform Limited Offering Exemption - Final Report
- Form 14-2p
Reorganization Exemption Application
- Form 14-21v
Solicitation of Interest
- Form 14-25v
Accredited Investor Exemption Uniform Notice of Transaction
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