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