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Forms

The following Division of Securities forms are available in Adobe .pdf format*.

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) (in Microsoft Word format)
• Small Company Offering Registration Form (U-7) - adopted September 28, 1999 (in Microsoft Word format)
• Issuer's Manual for Form U-7 - adopted September 28, 1999 -
    Choose [Microsoft Word format] or [Adobe .pdf format*]
• 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)
• Uniform Application for Securities Industry Registration or Transfer (U-4)
• Uniform Surety Bond (U-SB) (in Microsoft Word format)

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 using the information below.

Contact Us

445 East Capitol Avenue
Pierre, SD 57501-3185
Phone: 605.773.4823
Fax: 605.773.5953
e-mail

When submitting checks to the Division of Securities, please make payable to: South Dakota Division of Securities.

*Opening and printing Adobe .pdf files requires Adobe Acrobat Reader. Click here as needed to download the free Adobe Acrobat Reader.

For specific information on a program, division or council, click on one of the following links: