Forms

  • For best results, use the current version of Adobe Acrobat Reader.
  • Forms that are marked with a Y in the Fill column can be completed on-line through Adobe Acrobat Reader.
  • Users with Adobe 6.0 and above will need to change a setting before completing the forms so that the tabbing order works correctly. Open Adobe Acrobat, go to the tab on top labeled Edit, go to Preferences, and Accessibility. Make sure the box Use document structure for tab order when no explicit tab order is specified is not checked.
  • Select the appropriate form and click in the first text box to be completed.
  • Enter the required information and tab over or click on the next text box to continue completing the form.
  • Dates must be entered in the following format: mm/dd/yyyy.
  • When printing a form from Adobe Acrobat, the Page Scaling needs to be set to None. This can be found under File, Print, Page Handling Section. There will be a section called Page Scaling with drop down options. Please select None from those options. If any of the other options are selected, additional white space will be added to the margins of the form and the form will shrink.

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 Salesman 830 kb 10/31/2013
Y
51531 Pre-Need Funeral Contract Sales Annual Report 852 kb 07/18/2014
Y
51532 Issuer Dealer Renewal Application 421 kb 10/31/2013
Y
51717 Limited Offeree Exemption Application - Form E 588 kb 10/31/2013
Y
51949 Issuer Exemption Application 685 kb 10/31/2013
Y
51950 Solicitation of Interest Form (Test the Waters) 403 kb 10/31/2013
Y
51951 Impoundment Agreement 451 kb 11/01/2013
Y
51953 Limited Offeree Exemption Final Report of Offers and Sales 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 Offering Circular Guidelines 818 kb 02/05/2014
Y
53742 Rescission Offer-Form RO 447 kb 10/31/2013
Y
54147 Application for Registration of Securities by Announcement-Secondary 447 kb 10/31/2013
Y