SRF Forms

Form Name Form Description
BD Uniform Application for Broker-Dealer Registration
S.A. 11 Broker-Dealer’s Surety Bond
S.A. 2 Application for Renewal of a Broker-Dealer’s Registration
BDW Uniform Notice of Termination or Withdrawal of Registration as a Broker-Dealer
AFF 1 Broker-Dealer Affidavit
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
ADV Uniform Application for Registration of Investment Advisors
IA Surety IA Surety Bond Form
ADV-W Notice of Withdrawal From Registration As Investment Advisor
AFF 2 Investment Advisor In-State Affidavit
AFF 3 Investment Advisor Out-of-State Affidavit
Form Name Form Description
U-4 Uniform Application for Securities Industry Registration or Transfer
U-5 Uniform Termination Notice for Securities Industry Registration
S.A. 3 Affidavit for Waiver of Examination
S.A. 15 Investment Advisor Representative 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