Ga. Comp. R. & Regs. R. 590-4-1-.09 - Uniform Forms

(1) The following "Uniform Forms", as amended from time to time, are prescribed for use under the Act and Rules in lieu of the requisite Georgia form, if any.

(a) U-1. Uniform Application to Register Securities.

(b) U-2. Uniform Consent to Service of Process.

(c) U-2A. Uniform Form of Corporate Resolution.

(d) U-4. Uniform Application for Securities Industry Registration or Transfer.

(e) U-5. Uniform Termination Notice for Securities Industry Registration.

(f) ADV. Uniform Application for Investment Adviser Registration.

(g) BD. Uniform Application for Broker-Dealer Registration.

(h) USR-1. Investment Company Report of Sales.

(i) U-7. Small Company Offerings Registration Form, may be used as a disclosure guide when making a small company offering of securities pursuant to an exemption under the Act or when making small public offerings pursuant to the Act.

(j) NF. Uniform Investment Company Notice Filing.

(k) Model Accredited Investor Exemption Uniform Notice of Transaction.

(l) BR. Uniform Branch Office Registration Form.

(m) ADV-W. Notice of Withdrawal from Registration as Investment Adviser.

(n) BDW. Uniform Request for Withdrawal from Registration as a Broker-Dealer.

(o) D. Notice of Sales of Securities pursuant to SEC Regulation D.

Notes

Ga. Comp. R. & Regs. R. 590-4-1-.09

O.C.G.A. Secs. 10-5-7, 10-5-10, 10-5-16, 10-5-70, 10-5-74.

Original Rule entitled "Proceedings Under O.C.G.A. Sec. 10-5-4 of the Act" adopted. F. Feb. 24, 1987; eff. Mar. 16, 1987. Repealed: New Rule entitled "Proceedings Under O.C.G.A. Secs. 10-5-4 and 10-5-7 of the Act" adopted. F. Dec. 13, 1990; eff. Jan. 2, 1991. Repealed: New Rule entitled "Proceedings Under O.C.G.A. Secs. 10-5-4 and 10-5-7" adopted. F. Dec. 21, 2004; eff. Jan. 10, 2005. Repealed: New Rule entitled "Uniform Forms" adopted. F. Nov. 18, 2011; eff. Dec. 8, 2011.