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SD- South Dakota Small Company Offering Registration - SCOR Form U-7
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SD- South Dakota Uniform Investment Company Notice Filing Form-NF
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PA- Pennsylvania Securities Proxy Materials Form-203o
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PA- Pennsylvania Debt Securities for Nonprofits Form-203p
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PA- Pennsylvania Continuation of Section 205 Registration Form-207j
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PA- Pennsylvania Retroactive Registration of Investment Company Securities Form-210
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PA- Pennsylvania Report on use of Proceeds Form-209
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PA- Pennsylvania Securities Rescission Offer Form-RO
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PA- Pennsylvania Finance Company Debt Securities Registration Guidelines
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PA- Pennsylvania Offering Solicitation of Interest Form-SOI
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PA- Pennsylvania Small Company Offering Registration - SCOR Form U-7
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PA- Pennsylvania Uniform Investment Company Notice Filing Form-NF
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IA- Pennsylvania Investment Adviser and Representative Registration Packet
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BD- Pennsylvania Non-FINRA Member Broker-Dealer Registration Packet
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OR- Oregon Promotional Stock Escrow Agreement Form
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IA-Oregon Investment Adviser Representative – Salesperson Termination Form
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IA-Oregon Investment Adviser Firm Renewal Application Form
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BD-Oregon Non-FINRA Broker-Dealer Renewal Application Form
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BD-Oregon Broker-Dealer Trade Name or Assumed Business Name Filing Form
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BD-Oregon Broker-Dealer Registration for Resale or Dealing and Trading Form
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BD- Oregon Broker-Dealer Public Records Request Form
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IA- Oregon Investment Adviser Rep. Personal Balance Sheet and Income Statement Form
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BD- Oregon Broker-Dealer Agent Personal Balance Sheet and Income Statement Form
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BD- Oregon Broker-Dealer Dual Undertaking Form
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OK- Oklahoma Investment Company Report of Sales Form-USR1
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OK- Oklahoma Model Accredited Investor Exemption Uniform Notice of Transaction Form
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OK- Oklahoma Accredited Investor Exemption Form
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OK- Oklahoma Uniform Notice of Filing of Regulation A – Tier 2 Offering Form
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OK- Oklahoma Small Company Offering Registration - SCOR Form U-7
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OK- Oklahoma Uniform Investment Company Notice Filing Form-NF
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OK- Oklahoma Uniform Consent to Service of Process Form U-2
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OK- Oklahoma Uniform Application to Register Securities Form U-1
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NM- New Mexico Limited Offering Exemption Form-Y
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NM- New Mexico Small Offerings by Issuers with Local Operations Exemption Form-X
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NM- New Mexico Sales to Ten or Fewer Purchasers Exemption Form-N
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NM- New Mexico Small Company Offering Registration - SCOR Form U-7
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