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Forms

In order to view or print the Adobe Acrobat forms, you must download the free ADOBE Acrobat Reader for Windows, DOS or for Macintosh.  For best viewing results, we recommend using Adobe Acrobat Reader 7.0.

Private Offering Forms

• Statement of Issuer Application form for private placement filing.

• Report of Sales in Private Offerings Sales report for private offerings.

• Form D  Application for 506 Reg. D notice filing.

• Solicitation of Interest Form  Application for testing the waters for private placements.

• Model Accredited Investor Uniform Notice Form  Application for filing an accredited investor exemption.

Public Offering Uniform Forms

• Uniform Application to Register Securities (U-1)

• Uniform Consent to Service of Process (U-2)

• Uniform Corporate Resolution (U-2A)

• Uniform Investment Company Notice Filing (NF)

• Small Company Offering Registration Form (U-7)

• Application for Coordinated State Review (CR-1)

• Quarterly and/or Final Report of Sales of Securities

Broker Dealer Forms

• Uniform Application for Broker-Dealer firms (BD)

• Uniform Request for Broker-Dealer Withdrawal (BDW)

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

• Uniform Termination Notice (U-5)

Investment Adviser Forms

• Uniform Application for Investment Adviser Firms (ADV)

• Notice of Withdrawal From Registration as an Investment Adviser (ADVW)r

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

• Uniform Surety Bond (U-SB)

Franchise Forms

• Uniform Application to Sell Franchises (FDD)

• South Dakota Franchise Noticing Filing Application

• Uniform Consent to Service of Process (U-2)

Business Opportunities

• Uniform Consent to Service of Process (BU-2)

If you have questions, please contact Melita Hauge at 605-773-4823 or e-mail drr.securities@state.sd.us.

Who We Are | Forms | Publications | News Releases | State of South Dakota

South Dakota Department of Revenue & Regulation

445 East Capitol Avenue

Pierre, SD 57501-3185

Phone: (605)-773-3311

Fax:  (605)-773-6729

E-Mail Address:  webman@state.sd.us