Compilation of Rules and Regulations of the State of Georgia
Department 590 - RULES OF OFFICE OF SECRETARY OF STATE
Chapter 590-4 - COMMISSIONER OF SECURITIES
Subject 590-4-1 - GENERAL PROVISIONS
Rule 590-4-1-.09 - Uniform Forms

Universal Citation: GA Rules and Regs r 590-4-1-.09

Current through Rules and Regulations filed through March 20, 2024

(1) The following "Uniform Forms", as amended from time to time, are prescribed for use under the Act and Rules in lieu of the requisite Georgia form, if any.

(a) U-1. Uniform Application to Register Securities.

(b) U-2. Uniform Consent to Service of Process.

(c) U-2A. Uniform Form of Corporate Resolution.

(d) U-4. Uniform Application for Securities Industry Registration or Transfer.

(e) U-5. Uniform Termination Notice for Securities Industry Registration.

(f) ADV. Uniform Application for Investment Adviser Registration.

(g) BD. Uniform Application for Broker-Dealer Registration.

(h) USR-1. Investment Company Report of Sales.

(i) U-7. Small Company Offerings Registration Form, may be used as a disclosure guide when making a small company offering of securities pursuant to an exemption under the Act or when making small public offerings pursuant to the Act.

(j) NF. Uniform Investment Company Notice Filing.

(k) Model Accredited Investor Exemption Uniform Notice of Transaction.

(l) BR. Uniform Branch Office Registration Form.

(m) ADV-W. Notice of Withdrawal from Registration as Investment Adviser.

(n) BDW. Uniform Request for Withdrawal from Registration as a Broker-Dealer.

(o) D. Notice of Sales of Securities pursuant to SEC Regulation D.

O.C.G.A. Secs. 10-5-7, 10-5-10, 10-5-16, 10-5-70, 10-5-74.

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