The following forms are available in PDF format. To view a file in PDF format, Adobe® Acrobat® Reader is needed. For a free download of Adobe® Acrobat® Reader, click here.

Once the following PDF's are opened, you can fill them out as you view them! Simply select which field you wish to add information and type!

• Broker-Dealer Telephone Contact Notepad Form - (2 pages)
• Investment Adviser Examination Affidavit
• Investment Adviser Representative Examination Affidavit - (2 pages)
• Notice of Sale of Securities Form - (4 pages)
• Small Business Application for Mid-Atlantic Regional Review Form (MARRF) - (3 pages)
• Uniform Consent to Service of Process Form
• Uniform Investment Company Notice Filing Form - (3 pages)
• Waiver of Statutory Registration

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