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Securities Formsunderline

The following forms are in pdf format. You must have Adobe Reader® to access these forms. It is recommended that you have the most recent version of Reader, which is available free from the Adobe website at:

UIT & Mutual Funds
Uniform Investment Company Notice Filing (Form NF) - pdf
Indefinite UIT Sales Report - Editable pdf
Indefinite Mutual Fund Sales Report - Editable pdf

Exemption Filings
Notice of Sale of Securities Pursuant to Regulation D, Section 4(6), and/or Uniform Limited Offering Exemption (Form D) - pdf
Rules Governing the Limited Offer and Sale of Securities without Registration under the Securities Act of 1933 (Regulation D) - pdf
Uniform Consent to Service of Process (Form U2) - pdf

Other Filings/Registrations
Uniform Application to Register Securities (Form U1) - pdf
Registration Statement to Register Securities by Qualification - Editable pdf