Registration Forms

You can download and print registration forms below. Contact us if you have any questions.

• Affidavit for an Individual Waiving Automatic Agent Registration (PDF)
• Affidavit for an Individual Waiving Automatic Investment Adviser Representative Registration (PDF)
• Deferral Request Form—Broker-Dealer (PDF)
• Deferral Request Form—Agent (PDF)
• Deferral Request Form—Investment Adviser (PDF)
• Deferral Request Form—Investment Adviser Representative (PDF)
• CORI Form (PDF)
• Fillable Fee Table Template (DOCX)

Federal Forms

• SEC Form D - Used with SEC Regulation D and the Massachusetts private placement exemptions

NASAA Forms

• Form U-1 - Uniform Application to Register Securities (Sections 302 and 303 of M.G.L. c.110A) (PDF)
• Form U-2 - Uniform Consent to Service of Process (DOC)
• Form U-2A - Corporate Resolution (accompanies Form U-2) (DOC)
• Form NF - Notice Form for Investment Company Filings (DOC)
• Uniform Surety Bond Form for Broker-Dealers and Investment Advisers (DOC)

FINRA Forms

• Current FINRA Regulatory Forms for Online CRD Filing (Forms BD, BDW, U-4, U-5)
• BD (PDF)
• BDW (PDF)
• U-4 Instructions
• U-4 Form
• U-5 Instructions
• U-5 Form

SEC Form ADV

• Electronic filing for Investment Advisers on IARD
• Electronic Filing for Investment Advisers on IARD: Forms, Policy, and Law
• Form ADV - NASAA