Uniform Forms

SCOR

SCOR Program Overview:
http://www.nasaa.org/nasaa/corpfin/scor_overview.asp

SCOR Statement of Policy from NASAA:
http://www.nasaa.org/nasaa/corpfin/st_of_policy.asp

SCOR Disclosure and Offering Forms:
http://www.nasaa.org/nasaa/corpfin/scor_forms.asp

NASAA Coordinated Review

NASAA Coordinated Review Overview:
http://www.nasaa.org/nasaa/corpfin/cer_overview.html

Commonly Asked Questions Regarding CR-Equity:
http://sites.state.pa.us/PA_Exec/Securities/cer/crequity/caq.html

CR-Equity Form
http://sites.state.pa.us/PA_Exec/Securities/cer/crequity/equity1.html

NASAA Regional Review of SCOR Offerings

Massachusetts takes part in the New England Region
http://sites.state.pa.us/PA_Exec/Securities/cer/crscor.html

SEC Form D

A link to SEC Form D – Used with SEC Regulation D and the Massachusetts private placement exemptions:
http://www.law.uc.edu/CCL/33forms/formD.html

NASAA Forms

U-1, U-2, U-2A, Form NF, Uniform Surety Bond

Form U-1 – Uniform Application to Register Securities (Sections 302 and 303 of M.G.L. c.110A):
http://www.nasaa.org/industry___regulatory_resources/Uniform_Forms/

Form U-2 – Uniform Consent to Service of Process:
http://www.nasaa.org/industry___regulatory_resources/Uniform_Forms/

Form U-2A – Corporate Resolution (accompanies Form U-2):
http://www.nasaa.org/industry___regulatory_resources/Uniform_Forms/

Form NF – Notice Form for Investment Company Filings:
http://www.nasaa.org/industry___regulatory_resources/Uniform_Forms/

Uniform Surety Bond Form for Broker-Dealers and Investment Advisers:
http://www.nasaa.org/industry___regulatory_resources/Uniform_Forms/

NASD Forms BD, BDW, U-4, U-5

Current Regulatory Forms used by the NASD for Electronic Filing on the Web CRD (Forms BD, BDW, U-4, U-5):
http://www.nasd.com/web/idcplg?IdcService=SS_GET_PAGE&ssDocName=NASDW_005235&ssSourceNodeId=643

SEC Form ADV

Electronic filing for Investment Advisers on IARD:
http://www.sec.gov/divisions/investment/iard/iastuff.shtml