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Forms

The forms listed below are available from the Office of Securities. If a form that you want is not available on line, please email us or call us at 207-624-8551, and we will send you the form(s).

Most forms are in PDF format. You can download the free Adobe Acrobat Reader now to access these files.

Broker-Dealer/Agent Licensing

Consent to Service of Process (U-2 & U-2a) (PDF)

Form BD (PDF)

Form BDW (PDF)

Salesperson Form (U-4) (PDF)

Salesperson Form Instructions (U-4) (PDF)

Agent Termination Form(U-5) (PDF)

Agent Termination Form Instructions (U-5) (PDF)

Exams Form (U-10) (PDF)

Business Opportunities

Surety Certification (PDF)

Investment Adviser/Investment Adviser Representative Licensing

Consent to Service of Process (U-2 & U-2a) (PDF)

Form ADV (Parts 1A &1B, plus Instructions) (Paper version)

A Guide for Electronic Filing of the ADV Part II (Read this first)

Form ADV Part II with 5-page Schedule F

Form ADV Part II with 15-page Schedule F

Form ADV Part II with 25-page Schedule F

Form ADV Part II Schedule G

Form ADV Part II Schedule H

Form ADV Part II Schedule H 30

Form ADV-E

Form ADV-H

Form ADV-NR

Form ADV-W

Salesperson Form (U-4) (PDF)

Salesperson Form Instructions (U-4) (PDF)

Agent Termination Form(U-5) (PDF)

Agent Termination Form Instructions (U-5) (PDF)

Exams Form (U-10) (PDF)

Uniform Surety Bond Form (.doc)

Recission Offers

Sample Recission Letter - Unregistered Security

Sample Recission Letter - Unlicensed Broker-Dealer

Legal Rate of Interest

Securities Registrations, Notifications, and Exemptions

Consent to Service of Process (U-2 & U-2a) (PDF)

Coordination Application (U-1)* (PDF)

Form D - Reg D Rules 506 or 4(2) (PDF)

Model Accredited Investor Exemption Form (PDF)

Form NF (PDF)

Coordinated Equity Review Form (PDF)

Maine Issuer Notification of Exemption Form - 16202(15) (PDF)

Maine Issuer Form Instructions

Viatical or Life Settlement Exemption Form 16202(25)

Small Business

SCOR New England Regional Review application form

North American Securities Administators Association

The following forms are provided here and on the NASAA website.

Instructions for Filing Form SCOR (.doc)

Small Company Offering Registation Form (U-7) (.doc)

Issuer's Manual for Form U-7 (.doc)

Complaints

To file a complaint with the Office of Securities use our online complaint form

 

Last Updated: April 28, 2008