Unless otherwise provided by rule, the commissioner shall require the use of the following forms:
(a) Form BD (Uniform Application for Broker-Dealer Registration) for a broker-dealer application.
(b) Form ADV (Uniform Application for Investment Adviser Registration) for an investment adviser application.
(c) Form BDW (Uniform Request for Broker-Dealer Withdrawal) for withdrawing from licensure as a broker-dealer.
(d) Form ADV-W (Notice of Withdrawal from Registration as Investment Adviser) for withdrawing from licensure as an investment adviser.
(e) Form U-4 (Uniform Application for Securities Industry Registration or Transfer) for the reporting of an agent of a broker-dealer or an investment adviser representative or associated person of an investment adviser.
(f) Form U-5 (Uniform Termination Notice for Securities Industry Registration) for the reporting of the termination of an agent of a broker-dealer or an investment adviser representative or associated person of an investment adviser.
(Added by Stats. 2003, Ch. 473, Sec. 13. Effective January 1, 2004.)
Last modified: October 25, 2018