Broker-Dealer Resources
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MS- Mississippi Invest In-State Crowdfunding Offerings Form
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MS- Mississippi Notice of Offering of Securities Pursuant to Rule 7.03 Form
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MS- Mississippi Invest Crowdfunding Simplified Registration Statement Form
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MS- Mississippi Invest Crowdfunding Intermediary Registration Form
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MS- Mississippi Invest Crowdfunding Informational Pamphlet
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MS- Mississippi Application for Registration of Securities by Qualification Form
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MI- Michigan Issuer-Agent Registration Renewal Form
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BD- Michigan Non-FINRA Broker-Dealer Registration Renewal Form
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MI- Michigan Certification and Copies Request Form
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MI- Michigan Invests Locally Intrastate Crowdfunding Exemption Form
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MI- Michigan Invests Locally Notice of Website Operator Crowdfunding Exemption Form
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MI- Michigan Uniform Investment Company Notice Filing Form-NF
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MI- Michigan Uniform Consent to Service of Process Form U-2
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MI- Michigan Uniform Application to Register Securities Form U-1
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MD- Maryland Quarterly Status Report of Registration and Use of Proceeds Form SRQ-1
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MD- Maryland Crowdfunding Offering Statement Question and Answer Form MDCF-2
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MD- Maryland Crowdfunding Exemption Form MDCF-1 and Appendix 1
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MD- Maryland Limited Offering Exemption Form MLOE-2
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MD- Maryland Notice of Claiming Limited Offering Exemption Form MLOE-1
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MD- Maryland Intrastate Small Business Exemption Form MISBE-2
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MD- Maryland Intrastate Small Business Exemption Form MISBE-1
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MD- Maryland Small Corporate Offering Registration (SCOR) Issuer Manual
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MD- Maryland Small Corporate Offering Registration Mid-Atlantic Region Program
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MD- Maryland Small Corporate Offering Registration Mid-Atlantic Region App. Form
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ME- Maine Uniform Notice of Federal Crowdfunding Offering Form U-CF
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ME- Maine Uniform Notice Filing of Regulation A – Tier 2 Offering Form
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ME- Maine Notification of Exemption for Maine Issuers Form
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BD- Maine Broker-Dealer Annual Certification for Manual Exemption Form
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BD- Maine Broker-Dealer Examination Common Issues
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BD- Louisiana Broker-Dealer Agent Uniformed Service Member-Spouse Exemption Form
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LA- Louisiana Uniform Notice Filing of Regulation A – Tier 2 Offering Form
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LA- Louisiana Uniform Consent to Service of Process Form U-2
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LA- Louisiana Uniform Application to Register Securities Form U-1
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IA- Kentucky Applicant Acknowledgement and Authorization for Credit Report Form AAA
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IA- Kentucky Criminal Background Check Requirements
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KY- Kentucky Application for Renewal of Issuer Agent Registration Form 33-e-1
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