Uniform Forms

SCOR

SCOR Program Overview
http://www.nasaa.org/industry-resources/corporation-finance/scor-overview/

SCOR Statement of Policy from NASAA
http://www.nasaa.org/industry-resources/corporation-finance/scor-overview/scor-statement-of-policy/

SCOR Disclosure and Offering Forms
http://www.nasaa.org/industry-resources/corporation-finance/scor-overview/scor-forms/


NASAA Coordinated Review

NASAA Coordinated Review Overview
http://www.nasaa.org/industry-resources/corporation-finance/coordinated-review/

Commonly Asked Questions Regarding CR-Equity
http://www.coordinatedreview.org/crequity/caq.html

CR-Equity Form
http://www.coordinatedreview.org/crequity/equity1.html


NASAA Regional Review of SCOR Offerings

Massachusetts takes part in the New England Region
http://www.coordinatedreview.org/newengland.html


SEC Form D

A link to SEC Form D - Used with SEC Regulation D and the Massachusetts private placement exemptions:
http://www.sec.gov/info/smallbus/cfformd.htm


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/wp-content/uploads/2011/08/2-form_u1.pdf

Form U-2 - Uniform Consent to Service of Process
http://www.nasaa.org/wp-content/uploads/2011/08/3-FormU-2.doc

Form U-2A - Corporate Resolution (accompanies Form U-2):
http://www.nasaa.org/wp-content/uploads/2011/08/4-FormU-2A.doc

Form NF - Notice Form for Investment Company Filings:
http://www.nasaa.org/wp-content/uploads/2011/08/5-FORMNF.doc

Uniform Surety Bond Form for Broker-Dealers and Investment Advisers
http://www.nasaa.org/wp-content/uploads/2011/08/6-FormU-SB.doc


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

Current Regulatory Forms used by the FINRA for Electronic Filing on the Web CRD (Forms BD, BDW, U-4, U-5):
http://www.nasaa.org/industry-resources/uniform-forms/

BD:
http://www.sec.gov/about/forms/formbd.pdf

BDW:
http://www.sec.gov/about/forms/formbdw.pdf

U-4:
Instructions:
http://www.finra.org/web/groups/industry/@ip/@comp/@regis/documents/appsupportdocs/p015111.pdf
Form:
http://www.finra.org/web/groups/industry/@ip/@comp/@regis/documents/appsupportdocs/p015112.pdf

U-5:
Instructions:
http://www.finra.org/web/groups/industry/@ip/@comp/@regis/documents/appsupportdocs/p015113.pdf
Form:
http://www.finra.org/web/groups/industry/@ip/@comp/@regis/documents/appsupportdocs/p015114.pdf

SEC Form ADV

Electronic filing for Investment Advisers on IARD:
http://www.sec.gov/divisions/investment/iard/iastuff.shtml
or
http://www.nasaa.org/industry-resources/uniform-forms/form-adv/