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Form ADV-Whttp://www.sec.gov/about/forms/secforms.htmInvestment Advisers and RepresentativesForm ADV-W
Form BD - Uniform Application for Broker-Dealer Registrationhttp://www.sec.gov/about/forms/secforms.htm#bdregBroker-Dealers and Agents
Form BDW - Uniform Request for Broker-Dealer Withdrawalhttp://www.sec.gov/about/forms/secforms.htm#bdregBroker-Dealers and Agents
Form D Federal Regulation D Notice Filinghttp://www.sec.gov/about/forms/formd.pdfRegistrations and ExemptionsThis updated form must be used. The old form is no longer accepted.
Form U-10 - Uniform Examination Requesthttp://www.finra.org/Industry/Compliance/Registration/QualificationsExams/RegisteredReps/P121737Issuer Agents
Form U-4 - Uniform Application for Securities Industry Registration or Transferhttp://www.finra.org/Industry/Compliance/Registration/CRD/FilingGuidance/P005235Broker-Dealers and Agents, Investment Advisers and Representatives, Issuer Agents
Form U-5http://www.finra.org/Industry/Compliance/Registration/CRD/FilingGuidance/P005235Broker-Dealers and Agents, Investment Advisers and Representatives, Issuer Agents
Uniform Application for Investment Adviser Registration (Form ADV-Part I and II) through NASAAhttp://www.nasaa.org/Industry___Regulatory_Resources/Uniform_Forms/Investment Advisers and RepresentativesFor more information on submitting Form ADV Part II electronically, read the DFI notice and order
Uniform Application for Investment Adviser Registration (Form ADV-Part I and II) through SEChttp://www.sec.gov/about/forms/secforms.htmInvestment Advisers and RepresentativesFor more information on submitting Form ADV Part II electronically, read the DFI notice and order