Marcia Hultman

Cabinet Secretary

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Securities Regulation

Forms and Related Resources

The forms available below are in Adobe PDF format.

Private Offering Forms

Statement of Issuer Application for private placement filing

Report of Sales in Private Offerings Sales report for private offerings

Form D Application for 506 Reg. D notice filing

Solicitation of Interest Form for testing the waters for private placements

Model Accredited Investor Uniform Notice form for filing an accredited investor exemption

Uniform Notice of Regulation A Tier 2 Offering

Public Offering Uniform Forms

Uniform Application to Register Securities (U-1)

Uniform Consent to Service of Process (U-2)

Uniform Corporate Resolution (U-2A)

Uniform Investment Company Notice Filing (NF) (in Microsoft Word format)

Small Company Offering Registration Form (U-7) - adopted September 28, 1999 (in Microsoft Word format)

Issuer's Manual for Form U-7 - adopted September 28, 1999

Quarterly and/or Final Report of Sales of Securities

Broker Dealer Forms

Uniform Application for Broker-Dealer Registration (BD)

Uniform Request for Broker-Dealer Withdrawal (BDW)

Uniform Application for Securities Industry Registration or Transfer (U-4)

Uniform Termination Notice (U-5)

Investment Adviser Forms

Uniform Application for Investment Adviser Firms (ADV)

Notice of Withdrawal From Registration as an Investment Adviser (ADVW)

Uniform Application for Securities Industry Registration or Transfer (U-4)

Uniform Surety Bond (U-SB) (in Microsoft Word format)

Franchise Forms

Uniform Franchise Diclosure Guidelines (FDD)

(See the Franchise Rule Compliance Guide for more information)

South Dakota Franchise Noticing Filing Application

Uniform Consent to Service of Process (U-2)

Business Opportunities

Uniform Consent to Service of Process (BU-2)

If you have questions, please contact Melita Hauge using the Contact Us information provided.

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