Forms
Online Forms and Filing Portals
Broker-Dealer and Agent Licensing
- Form BD (Uniform Application for Broker-Dealer Registration)
- Form BDW (Uniform Request for Broker-Dealer Withdrawal)
- Form U4 (Uniform Application for Securities Industry Registration or Transfer)
- Form U5 (Uniform Termination Notice for Securities Industry Registration)
- Form U10 (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)
Investment Adviser and Representative Licensing
- Form ADV Instructions, Part 1 and Part 2 (Paper Version)
- Form ADV-E
- Form ADV-H
- Form ADV-W
- Form U4 (Uniform Application for Securities Industry Registration or Transfer)
- Form U5 (Uniform Termination Notice for Securities Industry Registration)
- Form U10 (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)
Securities Registration, Exemptions, and Notices
- Form U2 (Uniform Consent to Service of Process)
- Form U2a (Uniform Corporate Resolution)
- Form D
- Form Reg A - Tier 2
- Form NF
- Form U-CF
- 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 14-2p (Reorganization Exemption Application)
- Form 14-21v (Solicitation of Interest)
- Form 14-25v (Accredited Investor Exemption Uniform Notice of Transaction)
