Current through Register Vol. 49, No. 18, September 16, 2024
(1) The following forms have been adopted and
approved for filing with the Securities Division:
(A) Broker-Dealers, Agents, Investment
Advisers, and Investment Adviser Representatives-
1. Form BD-Uniform Application for
Broker-Dealer Registration approved May 2001, OMB Approval Number 3235-0012, or
any form which substantially comports with the specified form;
2. Form BDW-Uniform Request for Broker-Dealer
Withdrawal approved November 2000, OMB Approval Number 3235-0018, or any form
which substantially comports with the specified form;
3. Form SBD-1-Missouri Broker-Dealer
Affidavit revised January 2005, or any form which substantially comports with
the specified form;
4. Form
X-17A-5-Financial and Operational Combined Uniform Single Report approved July
2002, OMB Approval Number 3235-0123, or any form which substantially comports
with the specified form;
5. Form
U-4-Uniform Application for Securities Industry Registration or Transfer
adopted by the North American Securities Administrators Association, Inc.
(NASAA) on April 16, 2003, or any form which substantially comports with the
specified form;
6. Form U-5-Uniform
Termination Notice for Securities Industry Registration adopted by the NASAA on
April 16, 2003, or any form which substantially comports with the specified
form;
7. Form SA-1-Missouri
Application for Renewal Registration as Agent revised August 2003, or any form
which substantially comports with the specified form;
8. Form ADV-Uniform Application for
Investment Adviser Registration approved July 2003, OMB Approval Number
3235-0049, or any form which substantially comports with the specified
form;
9. Form ADV-W-Uniform Notice
of Withdrawal from Registration as Investment Adviser approved January 2001,
OMB Approval Number 3235-0313, or any form which substantially comports with
the specified form;
10. Form
SADV-1-State Covered Investment Adviser Affidavit revised March 2002, or any
form which substantially comports with the specified form;
11. Form SADV-SH-State Application for
Hardship Exemption from IARD revised October 2001, or any form which
substantially comports with the specified form; and
12. Form U-2-Uniform Consent to Service of
Process adopted by NASAA and revised November 1997, or any form which
substantially comports with the specified form.
(B) Registration of Securities-
1. Form U-1-Uniform Application to Register
Securities adopted by NASAA and revised February 1997, or any form which
substantially comports with the specified form;
2. Form SR-1-Form of Prospectus for
Registration of Securities by Qualification revised August 2003;
3. Form U-2-Uniform Consent to Service of
Process adopted by NASAA and revised November 1997, or any form which
substantially comports with the specified form;
4. Form U-2A-Uniform Form of Corporate
Resolution adopted by NASAA and revised April 1998, or any form which
substantially comports with the specified form;
5. Form SR-2-Missouri Annual Report for
Renewal of Registration of Securities revised December 2001;
6. Form SR-3-Midwest Regional Review
Application revised July 2003, or any form which substantially comports with
the specified form;
7. Form
SR-4-Missouri Impoundment of Funds Agreement revised September 2002, or any
form which substantially comports with the specified form;
8. Form SR-5-Missouri Application for
Registration of Single Family Mortgage Revenue Bonds revised June 2002, or any
form which substantially comports with the specified form; and
9. Form U-7-Small Company Offering
Registration (SCOR) Form adopted by NASAA and revised September 1999, or any
form which substantially comports with the specified form.
(C) Exemptions from Registration, Exceptions
from Definition, Federal Covered Securities-
1. Form SE-1-Statement of Claim for the
Exemption of Securities of a New Generation Processing Entity revised August
2003;
2. Form SE-2-Statement of
Claim for the Exemption of a Securities of a Missouri Agricultural Cooperative
revised December 2004;
3. Form
NF-Uniform Investment Company Notice Filing adopted by NASAA April 1997, or any
form which substantially comports with the specified form;
4. Form D-Notice of Sale of Securities
Pursuant to Regulation D, Section 4(6), and/or Uniform Limited Offering
Exemption approved in June 2002, OMB Approval Number 3235-0076, or any form
which substantially comports with the specified form; and
5. Form AI-Notice of Sale of Securities
Pursuant to the Missouri Accredited Investor Exemption, or any form which
substantially comports with the specified form.
(D) Commodities-
1. Form C-4-Missouri Commodity Broker-Dealer,
Sales Representative, Statutory Bond, revised June 2001, or any form which
substantially comports with the specified form; and
2. Form C-16-Missouri Application for Renewal
Registration of Sales Representative revised June 2001, or any form which
substantially comports with the specified form.
(2) The Securities Division on request will
supply the forms listed in
15 CSR
30-50.040(1) in printed format, which
are incorporated by reference herein, as published by the Securities Division
600 W. Main Street, PO Box 1276, Jefferson City, MO 65102. This rule does not
incorporate any subsequent amendments or additions. Accurate reproduction of
the forms may be utilized for filing in lieu of the printed forms. All uniform
forms are electronically available at
http://www.sos.mo.gov/securities.
