FORMS (21VAC5-10).
Broker-Dealer and Agent Forms
Form BD, Uniform Application for Broker-Dealer Registration (rev. 1/2008)
Form S.A. 2, Application for Renewal of a Broker-Dealer's Registration (rev. 10/2017)
Form S.A. 11, Broker-Dealer's Surety Bond (rev. 7/1999)
Form S.D.4, Application for Renewal of Registration as an Agent of an Issuer (2017)
Form S.D.4.A, Agents to be Renewed - Exhibit I (rev. 1974)
Form S.D.4.B, Agents to be Canceled (Records Clear) - Exhibit II (rev. 1974)
Form S.D.4.C, Agents to be Canceled (Without clear Records) - Exhibit III (rev. 1974)
Rev. Form U4, Uniform Application for Securities Industry Registration or Transfer (rev. 5/2009)
Rev. Form U5, Uniform Termination Notice for Securities Industry Registration (rev. 5/2009)
Investment Advisor and Investment Advisor Representative Forms
Form ADV, Uniform Application for Registration of Investment Registration and Report by Exempt Reporting Advisers
Part IB, paper version (rev. 10/2012)
Part 2, Uniform Requirements for the Investment Adviser Brochure and Brochure Supplements (undated)
Form ADV-W - Notice of Withdrawal from Registration as an Investment Advisor (rev. 11/2010)
Form S.A. 3, Affidavit for Waiver of Examination (undated, filed 10/2017)
Form S.A. 10, Investment Advisor's Surety Bond Form (rev. 10/2017)
Form S.A. 15, Investment Advisor Representative Multiple Employment Agreement (eff. 7/2007)
Form S.A. 16, Agent Multiple Employment Agreement (eff. 7/2007)
Rev. Form U4, Uniform Application for Securities Industry Registration or Transfer (rev. 5/2009)
Rev. Form U5, Uniform Termination Notice for Securities Industry Registration (rev. 5/2009)
Securities Registration and Notice Filing Forms
Form U–1, Uniform Application to Register Securities (undated, filed 10/2017)
Form U–2, Uniform Consent to Service of Process (rev. 6/2016)
Form U–2A, Uniform Form of Corporate Resolution (rev. 6/2016)
Form S.A. 4, Registration by Notification - Original Issue (rev. 11/1996)
Form S.A. 5, Registration by Notification - Non-Issuer Distribution (rev. 11/1996)
Form S.A. 6, Registration by Notification - Non-Issuer Distribution "Secondary Trading" (1989)
Form S.A. 8, Registration by Qualification (rev. 7/1991)
Form S.A. 12, Escrow Agreement (1971)
Form S.A. 13, Impounding Agreement (rev. 7/1999)
Form VA–1, Parts 1 and 2, Notice of Limited Offering of Securities (rev. 11/1996)