Securities Forms

The following forms are in Adobe Acrobat .pdf format, which requires the Adobe Acrobat reader for viewing and printing. For more information on Acrobat, or to download a free copy of the Acrobat reader, visit the Adobe web site.

Securities Registration, Notification, and Exemption Forms

 

REGISTRATION BY QUALIFICATION

·         Registration Statement:

Uniform Application to Register Securities (Form U-1)

Registration Statement in conjunction with SEC Rule 504 Offering (Form D)

 

·         Consent to Service of Process (Form U-2)

·         Uniform Corporate Resolution, if applicable (Form U-2A)  

·         Prospectus: 

Proposed Offering made in Compliance with Regulation A (Form 1-A) 

Proposed Offering made in Compliance with SEC Rule 504 (Form U-7)  

All Other Registrations by Qualification (Form U-7)  

·        Annual Registration Statement Renewal, file an updated Prospectus  

·         Amendment to Registration Statement, file an amended Registration Statement (Form U-1 or Form D)

 REGISTRATION BY COORDINATION

·         Registration Statement:  Uniform Application to Register Securities (Form U-1)

·         Consent to Service of Process (Form U-2)

  ·         Uniform Corporate Resolution, if applicable (Form U-2A)

  ·         Prospectus - file Part I of the Registration Statement filed, or to be filed, under the Securities Act of 1933

  ·         Annual Registration Statement Renewal, file an updated Prospectus as applicable

  ·         Amendment to Registration Statement (Form U-1)

 EXEMPT OFFERINGS

·         Invest Georgia Exemption Notice Filing (Form GA-1)

·         Federal Covered Security Notice Filing for SEC Rule 506 Offerings (Form D) 

·         Federal Covered Security Notice Filing for Investment Companies (Form NF)  

·         Georgia Uniform Limited Offering Exemption Notice (Form D)