Related Forms
- Form MNF: Municipal Security Notice Filing
- Form U-1: Uniform Application to Register Securities (PDF: external link)
- Form U-2: Consent to Service of Process
- Form U-2A: Uniform Form of Corporate Resolution
- Form U-4: Uniform Application for Securities Industry Registration or Transfer
- Form NP: Nonprofit Organization Claim of Exemption
- Form E: Limited Offeree Exemption Application
- Form E (R): Limited Offeree Exemption Final Report of Offers and Sales
- Form E (S): Issuer Exemption Application - Intrastate Limited Offering Exemption
- Form E (R) (S): Issuer Exemption Final Report of Sales - Intrastate Limited Offering Exemption
- Form S - 4: Application for Registration as Dealer
- Form S - 5: Application for Registration of Agent
- Form S - 6: Issuer Dealer Renewal Application
- Form S - 9: Impoundment Agreement
- Form SOI: Solicitation of Interest "Test the Waters"
- Form AIE: Accredited Investor Exemption
- Form RO: Rescission Offer
- Affidavit of Issuer/Dealer Activity
- Uniform Notice of Regulation A - Tier 2 Offering
- SEC Form D
Helpful Links
- NASAA North American Securities Administrators Association
- Contact Other State Regulators NASAA
- SCOR Small Company Offering Registrations
- Regulation A Small Business Exempt Offerings - SEC
- Reg D, Rule 501 Accredited Investor Definition
- Coordinated Review Programs for State Registration of Securities Offerings
- Electronic Filing Depository (EFD) The NASAA EFD allows filers to submit filing notices, fees, and forms
- Electronic Filing Depository (EFD) video tutorials
- SEC Information for Small Businesses
For Assistance Contact:
Rachel E. Rice, Supervisor of Investigations & Examinations
Email: rarice@nd.gov
Phone: (701) 352-4592