Forms

Because of the Adobe forms technology, it is highly recommended that Internet Explorer 11 or later is used for accessing PDF forms whenever possible. Microsoft Edge is not recommended or supported. If you must use Chrome or Firefox, please follow the instructions listed below.

Adobe PDF Viewer

PDF forms require an Adobe PDF Viewer browser plug-in. The latest versions of Chrome and Firefox do not support this technology by default. Some additional configurations need to be made to these browsers for them to work properly. Depending on your version of Chrome or Firefox, the instructions may vary slightly. When possible, use Internet Explorer 11 or higher. Adobe Reader needs to be installed on your machine. After Adobe Reader is installed, proceed with the instructions below for your specific browser.

Chrome

Replace the Chrome built in PDF viewer so that you can open, view, and save PDF's without issues.

  • Type into the address window of Chrome browser: chrome://settings/content
  • Scroll down to “Additional content settings” and click the drop-down arrow
  • Select the right arrow next to “PDF documents”
  • Slide the slider to the right for “Download PDF files instead of automatically opening them in Chrome”
  • Click on a form number hyperlink
  • Click on the up arrow on the pdf download box in lower left corner of screen
  • Choose Open

Firefox

Trying to open PDFs in Firefox could result in an error message that states "This PDF document contains forms. The filling of form fields is not supported."

To get the form to open in Adobe, you need to do the following:

  • Open Firefox
  • Click the Tools menu button
  • Click Options and select Applications
  • Find Portable Document Format (PDF) in the Content Type column
  • In the Action column, change it to Use Adobe Acrobat

Securities Department - Public Form(s)

SFNTitleSizeDateFillable
2520 DEALER-INVESTMENT ADVISOR INDEMNITY BOND 365 kb 06/07/2021 Y
14927 COMPLAINT FORM 562 kb 06/07/2021 Y
51526 APPLICATION FOR REGISTRATION AS DEALER 683 kb 06/07/2021 Y
51529 APPLICATION FOR REGISTRATION OF AGENT 812 kb 06/07/2021 Y
51531 PRE-NEED FUNERAL CONTRACT SALES ANNUAL REPORT 856 kb 06/07/2021 Y
51532 ISSUER DEALER RENEWAL APPLICATION 418 kb 06/07/2021 Y
51717 LIMITED OFFEREE EXEMPTION APPLICATION 579 kb 06/07/2021 Y
51949 ISSUER EXEMPTION APPLICATION 672 kb 06/07/2021 Y
51950 SOLICITATION OF INTEREST FORM 400 kb 06/07/2021 Y
51951 IMPOUNDMENT AGREEMENT 448 kb 06/07/2021 Y
51953 LIMITED OFFEREE EXEMPTION FINAL REPORT OF OFFERS AND SALE 341 kb 06/07/2021 Y
51954 ISSUER EXEMPTION FINAL REPORT OF SALES 360 kb 06/07/2021 Y
51969 NONPROFIT ORGANIZATION CLAIM OF EXEMPTION - FORM NP 518 kb 06/07/2021 Y
52009 ACCREDITED INVESTOR EXEMPTION 460 kb 06/07/2021 Y
52427 APPLICATION FOR REGISTRATION OF SECURITIES BY QUALIFICATION 611 kb 06/07/2021 Y
53380 PRE-NEED FUNERAL SERVICE CONTRACT BOND 407 kb 06/07/2021 Y
53451 ESCROW AGREEMENT 479 kb 06/07/2021 Y
53493 AFFIDAVIT OF ISSUER/DEALER ACTIVITY 361 kb 06/07/2021 Y
53494 AFFIDAVIT OF INVESTMENT ADVISORY ACTIVITY 357 kb 06/07/2021 Y
53495 AFFIDAVIT OF BROKER/DEALER ACTIVITY 902 kb 06/07/2021 Y
53506 OERRING CIRCULAR GUIDELINES 805 kb 06/07/2021 Y
53742 RECISSION OFFER - FORM RO 445 kb 06/07/2021 Y
54147 APPL FOR REGISTRATION OF SECURITIES BY ANNOUNCEMENT-SECONDAR 439 kb 06/07/2021 Y