PURPOSE: This rule prescribes the forms adopted and approved for filing with the commissioner.

1. (1) The following forms have been adopted and approved for filing with the division:

   1. (A) Broker-Dealers, Agents, Investment Advisers, and Investment Adviser Representatives—

      1. 1. Form BD—Uniform Application for

Broker-Dealer Registration approved July 1999, OMB Approval Number 3235-0012, or any form which substantially comports with the specified form;

1. 2. Form BDW—Uniform Request for

Broker-Dealer Withdrawal approved August 1999, OMB Approval Number 3235-0018, or any form which substantially comports with the specified form;

1. 3. Form SBD-1—Missouri Broker-Deal-

er Affidavit revised October 2001, or any form which substantially comports with the specified form;

1. 4. Form X-17A-5—Financial and Oper-

ational Combined Uniform Single Report approved October 1999, OMB Approval Number 3235-0123, or any form which substantially comports with the specified form;

1. 5. Form U-4—Uniform Application for

Securities Industry Registration or Transfer adopted by the North American Securities Administration Association (NASAA) on April 29, 2001, or any form which substantially comports with the specified form;

1. 6. Form U-5—Uniform Termination

Notice for Securities Industry Registration adopted by the NASAA on April 29, 2001, or any form which substantially comports with the specified form;

1. 7. Form SA-1—Missouri Application for

Renewal Registration as Agent revised October 2001, or any form which substantially comports with the specified form;

1. 8. Form ADV—Uniform Application for

Investment Adviser Registration approved January 1999, OMB Approval Number 3235- 0049, or any form which substantially comports with the specified form;

1. 9. Form ADV-W—Uniform Notice of

Withdrawal from Registration as Investment Adviser approved January 1999, OMB Approval Number 3235-0313, or any form which substantially comports with the specified form;

1. 10. Form SADV-1—State Covered

Investment Adviser Affidavit revised March 2002, or any form which substantially comports with the specified form;

1. 11. Form SADV-SH—State Application

for Hardship Exemption from IARD revised October 2001, or any form which substantially comports with the specified form;

1. 12. Form U-2—Uniform Consent to

Service of Process adopted by NASAA and revised November 1997, or any form which substantially comports with the specified form.

1. (B) Registration of Securities—

   1. 1. Form U-1—Uniform Application to

Register Securities adopted by NASAA and revised February 1997, or any form which substantially comports with the specified form;

1. 2. Form SR-1—Missouri Application to

Register Securities by Notification revised December 2001;

1. 3. Form U-2—Uniform Consent to Ser-

vice of Process adopted by NASAA and revised November 1997, or any form which substantially comports with the specified form;

1. 4. Form U-2A—Uniform Form of Cor-

porate Resolution adopted by NASAA and revised April 1998, or any form which substantially comports with the specified form;

1. 5. Form SR-2—Missouri Annual Report

for Renewal of Registration of Securities revised December 2001;

1. 6. Form SR-3—Midwest Regional

Review Application revised December 2001, or any form which substantially comports with the specified form;

1. 7. Form U-7—Small Company Offering

Registration (SCOR) Form adopted by NASAA and revised September 1999, or any form which substantially comports with the specified form.

1. (C) Exemptions from Registration, Exceptions from Definition, Federal Covered Securities—

   1. 1. Form SE-1—Missouri Statement of

Claim for the Exemption of Securities of an Agricultural Cooperative Association revised December 2001;

1. 2. Form SE-2—Missouri Application for

Exception from Definition as Agent for Sellers of Agricultural Cooperative Securities revised December 2001;

1. 3. Form NF—Uniform Investment Com-

pany Notice Filing adopted by NASAA April 1997, or any form which substantially comports with the specified form; and

1. 4. Form D—Notice of Sale of Securities

Pursuant to Regulation D, Section 4(6), and/or Uniform Limited Offering Exemption approved in June 1999, OMB Approval Number 3235-0076, or any form which substantially comports with the specified form.

1. (2) The division on request will supply the forms listed in this rule in printed format. Accurate reproduction of the forms may be utilized for filing in lieu of the printed forms. All uniform forms are electronically available.

AUTHORITY: section 409.413(a), RSMo 2000.* Original rule filed June 25, 1968, effective Aug. 1, 1968. Amended: Filed May 21, 1969, effective Aug. 1, 1969. Amended: Filed July 21, 1972, effective Aug. 1, 1972. Amended: Filed June 3, 1974, effective June 17, 1974. Amended: Filed Nov. 15, 1974, effective Nov. 25, 1974. Amended: Filed Dec. 19, 1975, effective Dec. 31, 1975. Emergency amendment filed Aug. 11, 1978, effective Aug. 23, 1978, expired Dec. 21, 1978. Amended: Filed Aug. 11, 1978, effective Feb. 11, 1979. Emergency amendment filed Aug. 1, 1980, effective Aug. 13, 1980, expired Dec. 11, 1980. Amended: Filed Aug. 13, 1980, effective Dec. 11, 1980. Amended: Filed Oct. 16, 1986, effective Feb. 12, 1987. Rescinded and readopted: Filed Sept. 29, 1988, effective Nov. 11, 1988. Rescinded and readopted: Filed March 27, 1989, effective June 12, 1989. Amended: Filed Feb. 2, 1996, effective July 30, 1996. Rescinded and readopted: Filed Dec. 17, 2001, effective July 30, 2002. *Original authority: 409.413, RSMo 1967.