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Forms From Other Sources

General Forms

Uniform Application for Investment Advisers
http://www.nasaa.org/industry-resources/investment-advisers/investment-adviser-guide/
Form Number: ADV

Small Corporate Offering Registration Form (SCOR)
http://www.nasaa.org/industry-resources/corporation-finance/scor-overview/scor-forms/
Form Number: U-7

Uniform Consent to Service of Process
http://www.nasaa.org/industry-resources/investment-advisers/uniform-forms/
Form Number: U-2

Uniform Application to Register Securities - PDF (external)
http://www.wdfi.org/_resources/indexed/site/ymm/sbic/form_u1.pdf
Form Number: U-1

Uniform Application for Registration of Agents & Uniform Termination Notice
http://www.nasaa.org/industry-resources/investment-advisers/uniform-forms/
Form Number: U-4 & U-5

Uniform Application for Broker Dealer Registration - PDF (external)
http://www.nasd.com/web/groups/reg_systems/documents/regulatory_systems/nasdw_005260.pdf
Form Number: BD

The Uniform Franchise Disclosure Document (“FDD”) Guidelines - PDF (external)
http://www.nasaa.org/wp-content/uploads/2011/08/6-2008UFOC.pdf

Franchise Funds Packet - PDF (local)

W-9
http://www.irs.gov/pub/irs-pdf/fw9.pdf?portlet=3
Request for Taxpayer Identification Number and Certification

State Forms

General Forms

Application for Registration of Securities by Announcement - Secondary - PDF (external)
http://www.nd.gov/eforms/Doc/sfn54147.pdf
Form Number: SFN 54147

Rescission Offer - PDF (external)
http://www.nd.gov/eforms/Doc/sfn53742.pdf
Form Number: Form RO

Uniform Form of Corporate Resolution for Dealer Registration
http://www.nasaa.org/industry-resources/investment-advisers/uniform-forms/
Form Number: U-2A

Solicitation of Interest Form (Test the Waters) - PDF (external)
http://www.nd.gov/eforms/Doc/sfn51950.pdf
Form Number: SOI

Pre-Need Funeral Service Contract Bond - PDF (external)
http://www.nd.gov/eforms/Doc/sfn53380.pdf

Pre-Need Funeral Contract Sales Annual Report - PDF (external)
http://www.nd.gov/eforms/Doc/sfn51531.pdf
Form Number: P-2

Offering Circular Guidelines - PDF (external)
http://www.nd.gov/eforms/Doc/sfn53506.pdf
Form Number: 53506

North Dakota Issuer Exemption Final Report of Sales - PDF (external)
http://www.nd.gov/eforms/Doc/sfn51954.pdf
Form Number: E(R)(S)
Intrastate Limited Offering Exemption

North Dakota Issuer Exemption Application - PDF (external)
http://www.nd.gov/eforms/Doc/sfn51949.pdf
Form Number: E(S)
Intrastate Limited Offering Exemption

Nonprofit Organization Claim of Exemption - PDF (external)
http://www.nd.gov/eforms/Doc/sfn51969.pdf
Form Number: NP

Limited Offeree Exemption Final Report of Offers and Sales - PDF (external)
http://www.nd.gov/eforms/Doc/sfn51953.pdf
Form Number: E(R)

Limited Offeree Exemption Application - PDF (external)
http://www.nd.gov/eforms/Doc/sfn51717.pdf
Form Number: E

Impoundment Agreement - PDF (external)
http://www.nd.gov/eforms/Doc/sfn51951.pdf
Form Number: S-9

Issuer Dealer Renewal Application - PDF (external)
http://www.nd.gov/eforms/Doc/sfn51532.pdf
Form Number: SFN 51532
Form Number: S-6

Complaint Form PDF - PDF (external)
http://www.nd.gov/eforms/Doc/sfn14927.pdf

Application for Registration of Securities by Qualification - PDF (external)
http://www.nd.gov/eforms/Doc/sfn52427.pdf
Form Number: S-2
for intrastate filing only

Application for Registration of Agent (Issuer-Dealer) - PDF (external)
http://www.nd.gov/eforms/Doc/sfn51529.pdf
Form Number: S-5

Application for Registration as a Dealer (Issuer) - PDF (external)
http://www.nd.gov/eforms/Doc/sfn51526.pdf
Form Number: S-4

Affidavit of Issuer/Dealer Activity - PDF (external)
http://www.nd.gov/eforms/Doc/sfn53493.pdf

Affidavit of Broker/Dealer Activity - PDF (external)
http://www.nd.gov/eforms/Doc/sfn53495.pdf

Affidavit of Investment Advisory Activity - PDF (external)
http://www.nd.gov/eforms/Doc/sfn53494.pdf
Form Number: SFN 53494

Accredited Investor Exemption - PDF (external)
http://www.nd.gov/eforms/Doc/sfn52009.pdf
Form: AIE