SRF Forms
Form Name | Form Description |
---|---|
S.D. 4 | Application for Renewal of Registration as an Agent of an Issuer |
S.D. 4A | Non-FINRA Broker-Dealer or Issuer Agents to be Renewed Exhibit |
S.D. 4B | Non-FINRA Broker-Dealer or Issuer Agents to be Canceled with no disciplinary history |
S.D. 4C | Non-FINRA Broker-Dealer or Issuer Agents to be Canceled with disciplinary history |
U-4 | Uniform Application for Securities Industry Registration or Transfer |
U-5 | Uniform Termination Notice for Securities Industry Registration |
Aff | Affidavit Regarding SCOR Offering |
S.A. 16 | Agent Multiple Employment Agreement |
Form Name | Form Description |
---|---|
Form ICE | Intrastate Crowdfunding Exemption (ICE) Notice Filing Form |
Reg A Tier 2 | Uniform Notice of Regulation A – Tier 2 Offering |
U-1 | Uniform Application to Register Securities |
U-2 | Uniform Consent to Service of Process |
U-2a | Uniform Form of Corporate Resolution |
U-7 | Small Company Offering Registration - SCOR |
U-CF | Uniform Notice of Federal Crowdfunding Offering |
S.A. 4 | Registration by Notification – Original Issue |
S.A. 5 | Registration by Notification – Non-Issuer Distribution |
S.A. 6 | Registration by Notification – Pursuant to 21 VAC 5-30-50 Non-Issuer Distribution "Secondary Trading" |
S.A. 8 | Registration by Qualification |
S.A. 12 | Escrow Agreement |
S.A. 13 | Impounding Agreement |
VA-1 | Notice of Limited Offering of Securities |
NF | Uniform Investment Company Notice Filing |
SEC Form D | Notice of Exempt Offering of Securities |
Model Form | Model Accredited Investor Exemption Uniform Notice of Transaction Form |
CR-Equity-1 | Application for Coordinated State Review - CR |
CR-SCOR Mid-Atlantic |
Small Business Securities Offering Application for Mid-Atlantic Regional Review Form |
Form Name | Form Description |
---|---|
A | Uniform Franchise Registration Application |
B | Franchisor's Costs and Sources of Funds |
C | Uniform Franchise Consent to Service of Process |
E | Affidavit of Compliance – Franchise Amendment/Renewal (optional) |
F | Guarantee of Performance (if applicable) |
G | Franchise Surety Bond |
H | Notice of Claim Exemption |
K | Escrow Agreement |
CR-FRAN | Application for Coordinated Review of Franchise Registration |
Form Name | Form Description |
---|---|
TM1 | Application for Registration of a Trademark or Service Mark |
TM2 | Application for Renewal of Registration of a Trademark or Service Mark |
TM3 | Certificate of Name Change of an Applicant or Registrant |
TM4 | Assignment of Trademark or Service Mark Registration – this is a sample, not really an official form |