Forms

Because of the new Adobe forms technology, it is highly recommended that Internet Explorer 11 or later is used for accessing PDF forms whenever possible. 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 in order 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. Microsoft Edge is not recommended or supported. In any case, 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 the Chrome browser: chrome://plugins
  • Disable the Chrome PDF Viewer
  • Enable Adobe Reader if it is listed
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 345 kb 06/27/2011 Y
14927 COMPLAINT FORM 448 kb 03/25/2013 Y
51526 APPLICATION FOR REGISTRATION AS DEALER 695 kb 10/31/2013 Y
51529 APPLICATION FOR REGISTRATION OF AGENT 830 kb 10/31/2013 Y
51531 PRE-NEED FUNERAL CONTRACT SALES ANNUAL REPORT 861 kb 12/08/2014 Y
51532 ISSUER DEALER RENEWAL APPLICATION 421 kb 10/31/2013 Y
51717 LIMITED OFFEREE EXEMPTION APPLICATION 588 kb 10/31/2013 Y
51949 ISSUER EXEMPTION APPLICATION 685 kb 10/31/2013 Y
51950 SOLICITATION OF INTEREST FORM 403 kb 10/31/2013 Y
51951 IMPOUNDMENT AGREEMENT 451 kb 10/21/2014 Y
51953 LIMITED OFFEREE EXEMPTION FINAL REPORT OF OFFERS AND SALE 343 kb 10/31/2013 Y
51954 ISSUER EXEMPTION FINAL REPORT OF SALES 362 kb 10/31/2013 Y
51969 NONPROFIT ORGANIZATION CLAIM OF EXEMPTION - FORM NP 521 kb 10/31/2013 Y
52009 ACCREDITED INVESTOR EXEMPTION 464 kb 10/31/2013 Y
52427 APPLICATION FOR REGISTRATION OF SECURITIES BY QUALIFICATION 620 kb 10/31/2013 Y
53380 PRE-NEED FUNERAL SERVICE CONTRACT BOND 375 kb 07/13/2011 Y
53451 ESCROW AGREEMENT 450 kb 09/09/2011 Y
53493 AFFIDAVIT OF ISSUER/DEALER ACTIVITY 362 kb 10/31/2013 Y
53494 AFFIDAVIT OF INVESTMENT ADVISORY ACTIVITY 321 kb 07/12/2011 Y
53495 AFFIDAVIT OF BROKER/DEALER ACTIVITY 340 kb 07/13/2011 Y
53506 OERRING CIRCULAR GUIDELINES 818 kb 02/05/2014 Y
53742 RECISSION OFFER - FORM RO 447 kb 10/31/2013 Y
54147 APPL FOR REGISTRATION OF SECURITIES BY ANNOUNCEMENT-SECONDAR 447 kb 10/31/2013 Y