To view PDF files listed on this page you will need to have
Adobe Acrobat Reader installed on your computer. If you are using assistive technologies to view this web site please refer to our
Accessibility Options for viewing PDF files.
- Forms From Other Sources
-
General Forms
Uniform Application for Investment Advisers
http://www.nasaa.org/Industry___Regulatory_Resources/Uniform_Forms/
Form Number: ADV
-
Small Corporate Offering Registration Form (SCOR)
http://www.nasaa.org/industry___regulatory_resources/corporation_finance/564.cfm
Form Number: U-7
-
Uniform Consent to Service of Process
http://www.nasaa.org/content/Files/FormU%2D2.doc
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 Salesmen & Uniform Termination Notice
http://www.nasaa.org/Industry___Regulatory_Resources/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 Offering Circular (UFOC) Guidelines
http://www.nasaa.org/content/Files/UniformFranchiseOfferingCircular.doc
Form Number: UFOC
-
Franchise Funds Packet - PDF (local)
-
W-9
- PDF (external)
http://www.irs.gov/pub/irs-pdf/iw9.pdf
Request for Taxpayer Identification Number and Certification
- State Forms
-
General Forms
Uniform Form of Corporate Resolution for Dealer Registration
- PDF (external)
http://www.nd.gov/eforms/Doc/sfn51689.pdf
Form Number: U-2ABD
-
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 Report - Schedule (Page 2)
- PDF (external)
http://www.nd.gov/eforms/Doc/sfn51531l.pdf
Form Number: P-2
-
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
-
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
-
Dealer Renewal Application (Issuer-Dealer)
- PDF (external)
http://www.nd.gov/eforms/Doc/sfn51532.pdf
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
-
Affadavit of Investment Advisor Activity
- PDF (external)
http://www.nd.gov/eforms/Doc/sfn53494.pdf
-
Accredited Investor Exemption
- PDF (external)
http://www.nd.gov/eforms/Doc/sfn52009.pdf
Form: AIE