New Jersey Administrative Code
Title 13 - LAW AND PUBLIC SAFETY
Chapter 47A - BUREAU OF SECURITIES
Subchapter 7 - MISCELLANEOUS
Section 13:47A-7.1 - Consent to service of process

1. For agent applications for registration in New Jersey, a fully executed Form U2 Uniform Consent to Service of Process or a fully executed Individual/Applicant's Acknowledgement and Consent section of Form U4, Uniform Application for Securities Industry Registration or Transfer, for direct registration or via the CRD;

2. For broker-dealer applications for registration in New Jersey filed directly with the Bureau or via the CRD a fully executed Execution Page of the Form BD, Uniform Application for Broker-Dealer Applications, or a successor form as prescribed by the CRD may be filed with the CRD to fulfill the requirement of (a) above for the broker-dealer;

3. For investment adviser applications for registration in New Jersey, a fully executed Domestic Investment Adviser Execution Page of the Form ADV, Uniform Application for Investment Adviser Registration, or a successor form as prescribed by the Bureau may be filed with the Bureau to fulfill the requirement of (a) above for the investment adviser;

4. For investment adviser representatives, a fully executed Individual/Applicant's Acknowledgement and Consent section of Form U4, Uniform Application for Securities Industry Registration or Transfer, for direct registration or via the CRD;

5. For mutual funds and unit investment trusts, see N.J.A.C. 13:47A-7.9;

6. For private placements, see N.J.A.C. 13:47A-7.10;

7. For an issuer offering a security pursuant to N.J.S.A. 49:3-50(b)(14), the New Jersey Intrastate Offering (Crowdfunding) Exemption Form; and

8. For an Internet site operator, the Internet Site Operator Registration Form.