Commerce Division of Securities  
 

FORMS

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Registration Forms
Form	Description
Form 11	Consent to Service of Process
Form 39	Corrective Filing
Form 391	Corrective Filing/excusable neglect securities
Form 3Q	Section 4(2) of Act of 1933
Form 3-W	Rule 505
Form 3-Y	Accredited Investors
Form 04	Application for Approval of Corporate Reorganizaion
Form 041	Control Bid
Non-Prejudice	Non-Prejudice Statement
Form NF	Uniform Investment Company Notice Filing
Form 6A(1)	Registration by description
Form 6A(2)	Registration by description/35 purchasers
Form 6A(3)	Registration by description / non-corporate
Form 6A(4)	Registration by description / existing security holders
U-1	Uniform Application to Register Securities
U-2	Uniform Consent to Service of Process
U-2A	Uniform Corporate Resolution
U-7	SCOR
U-7 Manual	SCOR Instruction Manual
Form 9	Registration by Qualification
Form D	Rule 506 Ohio Filing Requirements for Offerings Under Rule 506

Licensing Forms
Form	Description
B/D Prior Sales	Broker-Dealer Questionnaire and Affidavit: Prior Sales
FINRA Dealer/Non-FINRA Delear	Instruction Letter
SRSIO	State Retirement System Investment Officer
BWCCIO	Bureau of Worker's Compensation Chief Investment Officer
The Ohio Advisory Package	The Ohio Advisory Package Information
Investment Adviser/ Investment Adviser Representative	Flow Charts
Updated Form ADV	Uniform Application For Investment Adviser Registration
Form ADV-E	Certificate of Accounting of Client Securities and Funds in the Possession or Custody of an Investment Adviser
Form ADV-W	Notice of Withdrawal From Registration As An Investment Adviser
Form U-4 Instructions / Form	Uniform Application For Securities Industry Registration or Transfer
Form U-5 Instructions / Form	Uniform Termination Notice For Securities Industry Registration
Form BD	Uniform Application for Broker-Dealer Registration
Form U4/Form U5/Form BD	Explanation of Terms for Forms U4, U5, and BD

Enforcement Forms
Form	Description
Complaint Form	Complaint Form For Securities Complaints And The Like