Forms for Registration, Licensing, etc. (SEC)
The following forms may be downloaded for submission to the Securities Compliance Branch.
- Broker-Dealer Registration
- Investment Adviser Registration
- Franchise Filings
-
Professional Fund Raising Counsel and Professional Solicitor Filings
Effective July 1, 2005, these filings are now administered by the Department of the Attorney General. For registration forms please click here.
- Registration of Securities by Qualification