Missouri Code of State Regulations › Title 15 - ELECTED OFFICIALS › Division 30 - Secretary of State › Chapter 50 - General › Section 15 CSR 30-50.040 - Forms

Current through Register Vol. 49, No. 14, July 15, 2024
PURPOSE: This rule prescribes the forms adopted and
				  approved for filing with the commissioner.
PUBLISHER'S NOTE: The secretary of state has
				  determined that the publication of the entire text of the material which is
				  incorporated by reference as a portion of this rule would be unduly cumbersome
				  or expensive. This material as incorporated by reference in this rule shall be
				  maintained by the agency at its headquarters and shall be made available to the
				  public for inspection and copying at no more than the actual cost of
				  reproduction. This note applies only to the reference material. The entire text
				  of the rule is printed here.
(1) The following forms have been adopted and
				approved for filing with the Securities Division:
(A) Broker-Dealers, Agents, Investment
				Advisers, and Investment Adviser Representatives-
1. Form BD-Uniform Application for
				Broker-Dealer Registration approved May 2001, OMB Approval Number 3235-0012, or
				any form which substantially comports with the specified form;
2. Form BDW-Uniform Request for Broker-Dealer
				Withdrawal approved November 2000, OMB Approval Number 3235-0018, or any form
				which substantially comports with the specified form;
3. Form SBD-1-Missouri Broker-Dealer
				Affidavit revised January 2005, or any form which substantially comports with
				the specified form;
4. Form
				X-17A-5-Financial and Operational Combined Uniform Single Report approved July
				2002, OMB Approval Number 3235-0123, or any form which substantially comports
				with the specified form;
5. Form
				U-4-Uniform Application for Securities Industry Registration or Transfer
				adopted by the North American Securities Administrators Association, Inc.
				(NASAA) on April 16, 2003, or any form which substantially comports with the
				specified form;
6. Form U-5-Uniform
				Termination Notice for Securities Industry Registration adopted by the NASAA on
				April 16, 2003, or any form which substantially comports with the specified
				form;
7. Form SA-1-Missouri
				Application for Renewal Registration as Agent revised August 2003, or any form
				which substantially comports with the specified form;
8. Form ADV-Uniform Application for
				Investment Adviser Registration approved July 2003, OMB Approval Number
				3235-0049, or any form which substantially comports with the specified
				form;
9. Form ADV-W-Uniform Notice
				of Withdrawal from Registration as Investment Adviser approved January 2001,
				OMB Approval Number 3235-0313, or any form which substantially comports with
				the specified form;
10. Form
				SADV-1-State Covered Investment Adviser Affidavit revised March 2002, or any
				form which substantially comports with the specified form;
11. Form SADV-SH-State Application for
				Hardship Exemption from IARD revised October 2001, or any form which
				substantially comports with the specified form; and
12. Form U-2-Uniform Consent to Service of
				Process adopted by NASAA and revised November 1997, or any form which
				substantially comports with the specified form.