The following provisions apply to all applications, petitions, notice filings, amendments, reports, complaints, or other documents required under the Arkansas Securities Act, Arkansas Code § 23-42-101 et seq., this part, or any order of the Securities Commissioner:

1. (1) Filing.

   1. (A) A document is deemed filed when it is received in the office of the commissioner.
   2. (B) All communications and inquiries shall be addressed or delivered to: Arkansas Securities Commissioner 1 Commerce Way, Suite 402 Little Rock, Arkansas 72202 Telephone 501.324.9260
   3. (C) The office of the commissioner shall be open for business between the hours of 8:00 a.m. and 4:30 p.m. on weekdays, except for legally declared holidays.

   4. (D)

      1. (i) The original of each form or exhibit is required.
      2. (ii) Additional copies of certain documents may be requested or required by other provisions of the Arkansas Securities Act or this part.
   5. (E) When a document is required to be signed, the signature shall be an original signature of the person signing or if submitted electronically, the signature shall be verified through a certification authority that shall verify for the State Securities Department that the electronic signature is authentic.
   6. (F) A filing shall be deemed incomplete until all requested information and applicable fees are received;

2. (2) Fees.

   1. (A) Unless a filing is made electronically or as otherwise set forth specifically in this part, all filing fees must accompany the application or supplemental amendment to which they pertain.
   2. (B) Filing fees for notice filings shall accompany the notice filing when possible or as soon thereafter as is practical.
   3. (C) Copies of documents filed and recorded in the office of the commissioner will be provided at a charge of ten cents (10¢) per page.
   4. (D) Certified copies will be provided at an additional charge of one dollar ($1.00) per document.
   5. (E) Postage, shipping fees, and additional costs related to providing information to the public may be charged.
   6. (F) Unless paid electronically, fee payments made directly to the department shall be by check or money order made payable to the State Securities Department; and

3. (3) Forms. The following forms have been adopted for use:

   1. (A) Broker-dealer registration.

      1. (i) Uniform Application for Broker-Dealer Registration (Form BD).
      2. (ii) Uniform Application for Securities Industry Registration or Transfer (Form U4).
      3. (iii) Uniform Branch Office Registration (Form BR).
      4. (iv) Uniform Termination Notice for Securities Industry Registration (Form U5).
      5. (v) Uniform Request for Broker-Dealer Withdrawal (Form BDW).
      6. (vi) Broker-Dealer Independent Contractor Acknowledgement Form.
      7. (vii) Life Disclosure Settlement Document I and II;

   2. (B) Investment adviser registration.

      1. (i) Uniform Application for Investment Adviser Registration (Form ADV).
      2. (ii) Uniform Surety Bond (Form USB).
      3. (iii) Notice of Withdrawal from Registration as Investment Adviser (Form ADV-W).
      4. (iv) Investment Adviser Independent Contractor Acknowledgement Form.
      5. (v) Certificate of Accounting of Client Securities and Funds in the Possession or Custody of an Investment Adviser (Form ADV-E).
      6. (vi) Bond Continuation Certificate;

   3. (C) Securities agent, agent of an issuer, and investment adviser representative.

      1. (i) Uniform Application for Securities Industry Registration (Form U4).
      2. (ii) Uniform Surety Bond (Form USB).
      3. (iii) Uniform Termination Notice (Form U5).
      4. (iv) Uniform Examination Request for Non-FINRA Candidates (Form U10).
      5. (v) Agreement of Joint Supervision for Dual Registration.
      6. (vi) Agent of the Issuer Renewal Registration Application.
      7. (vii) Model Accredited Investor Exemption Uniform Notice of Transaction;

   4. (D) Securities registration and exemption.

      1. (i) Uniform Application to Register Securities (Form U-1).
      2. (ii) Uniform Consent to Service of Process (Form U-2).
      3. (iii) Uniform Form of Corporate Resolution (Form U-2A).
      4. (iv) Small Corporate Offering Registration (Form U-7).
      5. (v) Registration Statement under the Securities Act of 1933 (Form S-1).
      6. (vi) Notice of Sales of Securities Pursuant to Regulation D, Section 4(6) of the Securities Act of 1933, and/or Uniform Limited Offering Exemption (Form D).
      7. (vii) Model Accredited Investor Exemption; and

   5. (E) Notice filings.

      1. (i) Uniform Investment Company Notice Filing (Form NF).
      2. (ii) Uniform Application for Investment Adviser Registration (Form ADV).
      3. (iii) Uniform Notice Filing of Regulation A – Tier 2 Offering.

Codification Notes: The Securities Act of 1933 is codified at 15 U.S.C. § 77a et seq.