Alaska Department of Commerce, Community and Economic Development

> Securities > Securities Forms

To view and print PDFs found in these menus, you will need to download Adobe Acrobat Reader. To download, click on the Adobe logo above.

Forms related to securities filings

Registration by Coordination (AS 45.55.090) or qualification (AS 45.55.100) or
SCOR (3 AAC 08.600-650)

NASAA Form U-1	Uniform Application to Register Securities
NASAA Form U-2	Uniform Consent to Service of Process
NASAA Form U-2A	Uniform Corporate Resolution
NASAA Form U-7	Small Corporate Offering Registration (SCOR) Form - New
Form 08-103	Model Promotional Shares Escrow Agreement -
Form 08-104	Impoundment of Proceeds Agreement -
Form 08-105	Model Promotional Shares Lock-In Agreement -
Form 08-112	Report of Securities Sales and Use of Proceed

Click here for discussion on Self-Executing Exemptions

Exemptions from Registration (AS 45.55.900)

Private Offerings: Any Issuer	900(b)(5)(A)	Form 08-106 attachment a attachment b	Notice of Exempt Securities Transactions
Private Offerings: Alaska Issuer	900(b)(5)(B)	Form 08-107 attachment a attachment b	Notice of Exempt Securities Transactions
Institutional Investor	900(b)(4)	Form 08-108	Notice of Exempt Securities Transactions
Existing Security Holder	900(b)(7)(B)	Form 08-109	Notice of Exempt Securities Transactions
Accredited Investors Only	900(b)(18)	Form 08-110	Notice of Exempt Securities Transactions
Rescission Offer and Report of Results	900(b)(19)	Form 08-111	Notice of Exempt Securities Transactions
Rescission Offer and Report of Results	900(b)(19)	Form 08-111a	Follow-Up Report for AS 45.55.900(b)(19)
Voluntary Notice	900	Form 08-116	Notice of Exempt Securities Transactions Given at the option of the issuer/agent

Registration for Regulation D, Rule 504 or 505 (3 AAC 08.500^-.505)

Form 08-101	Registration Application Under 3 AAC 08.500-505
NASAA Form U-2	Uniform Consent to Service of Process

Notice Filing, Regulation D, Rule 506 (AS 45.55.075(d))

SEC Form D	Registration or Notice Under Federal Regulation D, Section 4(6), and/or ULOE
NASAA Form U-2	Uniform Consent to Service of Process

Notice Filing, Mutual Funds and UITs (AS 45.55.075(a))

NASAA Form NF	Uniform Investment Company Notice Filing)
NASAA Form U-2	Uniform Consent to Service of Process

Forms and Information Related to Broker-Dealers, Agents, Federal Covered Advisers, State Investment Advisers, and Investment Adviser Representatives (IARs)

NASD Forms	Forms U4, U5, BD, BDW, BR
	Uniform Forms Reference Guide
SEC Forms	Broker-Dealer Forms (BD, BDW)
	Investment Adviser Forms (ADV)
	ADV Part II
Exams	NASD Form U10
	NASAA Series 63, Series 65, Series 66
All Uniform Forms	NASAA Uniform Forms Page
Form 08-100	Form 08-100 Surety Bond Form

Viatical Forms

Form 08-102	Registration of Viatical Transactions (3 AAC 08.705 et sec.)
Form 08-118	Rescission Notice
Form 08-114a	Viatical Settlement Disclosure Forms Part A
Form 08-114b	Viatical Settlement Disclosure Forms Part B

Solicitation of Interest Form

Form Interest

Solicitation of Interest Form (3 AAC 08.087)

	To view and print PDFs found in this menus, you will
need to download Adobe Acrobat Reader. To download, click on the Adobe logo above.