Securities Forms

INDUSTRY PROFESSIONALS

FORM BD Uniform Application for Broker-Dealer Registration

• Broker-Dealer Firms
• Investment Adviser Firms

FORM BDW Uniform Request for Broker-Dealer Withdrawal

FORM U-2 Consent to Service of Progress

• Broker-Dealer Firms

FORM U-4 Uniform Application for Securities Registration or Transfer

• Annual renewal requirements for Issuer-Appointed Salesperson
• Broker-Dealer Representative or Salesperson

FORM U-5 Agent Termination

CAPITAL FORMATION

CROWDFUNDING

• APPLICATION FOR CROWDFUNDING EXEMPTION
• DISCLOSURE DOCUMENT

SMALL COMPANY OFFERING REGISTRATION (SCOR)

• FORM SCOR Small Company Offering Registration with Disclosure Document
• FORM CR-SCOR-WEST-1 Coordinated Review Application for CR-SCOR-West

REGISTRATION BY COORDINATION

• FORM U-1 Uniform Application to Register Securities
• FORM U-2 Consent to Service of Process

EXEMPTION FROM REGISTRATION (Mont. Code Ann. § 30-10-105(8)(b))

• APPLICATION FOR EXEMPTION FROM REGISTRATION

MULTILEVEL MARKETING

• FORM MLD-1 Uniform Notice for Multilevel Marketing Companies

LIVING TRUSTS

• FORM LT-1 Uniform Application to Offer or Sell Living Trusts
• FORM LT-1 Schedule A Additional Applicants
• FORM LT-1 Schedule B Additional Information