Unless otherwise provided by rule, the commissioner shall require the use of the following forms:
(a) Form BD (Uniform Application for Broker-Dealer Registration) for a broker-dealer application.
(b) Form ADV (Uniform Application for Investment Adviser Registration) for an investment adviser application.
(c) Form BDW (Uniform Request for Broker-Dealer Withdrawal) for withdrawing from licensure as a broker-dealer.
(d) Form ADV-W (Notice of Withdrawal from Registration as an Investment Adviser) for withdrawing from licensure as an investment adviser.
(e) Form U4 (Uniform Application for Securities Industry Registration or Transfer) for the reporting of an agent of a broker-dealer or an investment adviser representative or associated person of an investment adviser.
(f) Form U5 (Uniform Termination Notice for Securities Industry Registration) for the reporting of the termination of an agent of a broker-dealer or an investment adviser representative or associated person of an investment adviser.
(Amended by Stats. 2019, Ch. 143, Sec. 51. (SB 251) Effective January 1, 2020.)
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