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 |
| L | Certification of Deferred Franchise Fee |
| 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 |