Form BD, Uniform Application for Broker-Dealer Registration
Form BDW, Uniform Request for Broker-Dealer Withdrawal
Form ADV, Uniform Application for Investment Adviser Registration
Form ADV-W, Notice of Withdrawal from Registration as Investment Adviser
Form BR, Uniform Branch Office Registration Form -- Form BR Instructions
Form U-1, Uniform Application to Register Securities (Effective 10/97)
Form U-2, Uniform Consent to Service of Process (Effective 10/1/96)
Form U-2A, Uniform Corporate Resolution (Effective 10/1/96)
Form U-4, Uniform Application for Securities Industry Registration or Transfer -- Form U-4 Instructions
Form U-5, Uniform Termination Notice for Securities Industry Registration -- Form U-5 Instructions
Form U-7, Small Corporate Offering Registration Form (Effective 10/97)
Form FL921250Z, Florida Fingerprint Card (5/11/99), effective 11-22-10 -- Available by calling the Division of Securities, (850) 410-9500.
CUBA
Disclosure of Business Activities in Cuba Form
OFR-CAN
Registration of Canadian Broker Dealer
OFR-DA-5-91
Issuer/Dealer Compliance Forms
OFR-S-10-91
Report of Sales of Securities and Use of Proceeds Therefrom
OFR-S-12-97
SCOR (Small Corporate Offering Registration)
OFR-S-13-97
Florida Guide to Small Business Investments
OFR-S-14-97
Promotional Shares Escrow Agreement
OFR-S-1-91
Application for Registration of Securities
OFR-S-3-91
Notification Registration
OFR-S-5-91
Uniform Consent to Service of Process
OFR-S-6-91
Corporate Resolution
OFR-S-7-91
Exhibit 1 (General Issue)
Tel: (850) 410-9893
Fax: (850) 410-9748
Toll Free: (850) 848-3792, Option 2
Division Key Personnel
Chapter 517: Securities and Investor Protection Act
Florida Securities Rules: Chapter 69W-100 through 69W-1000