1. (a) Forms. The following is a list of forms accepted by the Department in connection with the registration or exemption of securities under the Securities Act:

   1. (1) U-1 -- Uniform Application to Register Securities
   2. (2) U-2 -- Uniform Consent to Service of Process
   3. (3) U-2A -- Uniform Form of Corporate Resolution
   4. (4) U-7 -- Small Company Offering Registration Form
   5. (5) NF -- Uniform Investment Company Notice Filing
   6. (6) Form D -- Notice of Exempt Offering of Securities
   7. (7) NASAA Model Accredited Investor Exemption Notice of Transaction Form
   8. (8) Oklahoma Accredited Investor Exemption Supplemental Information Form
   9. (9) NASAA Uniform Notice Filing of Regulation A – Tier 2 Offering
2. (b) Obtaining forms. The referenced forms are available on the Department's website at http://www.securities.ok.gov/.

Amended at 15 Ok Reg 3416, eff 7-15-98

Amended at 21 Ok Reg 2496, eff 7-1-04

Amended at 33 Ok Reg 1837, eff 11-1-16

Amended at 37 Ok Reg 2193, eff 11-1-20

Amended at 42 Ok Reg, Number 20, effective 8-15-25