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Securities

Forms

Forms on this page have been updated. Please use the form versions posted to this page.

Forms related to securities filings

Registration by Coordination (AS 45.56.090) or qualification (AS 45.56.100) or SCOR (3 AAC 08.600-650)

  • 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 Proceeds
  • For NASAA forms U-1, U-2, U-2A and U-7 please visit NASAA.org

Exemptions from Registration (AS 45.56.110 and 120)

Small Intrastate Securities Offerings (Crowdfunding)
(3 AAC 08.810 - 08.850)

Registration for Regulation D, Rule 504
(3 AAC 08.500)

Notice Filing, Regulation D, Rule 506 (AS 45.56.200)

  • As of November 26, 2016, All Regulation D, Rule 506 Notice Filings must be made via the NASAA EFD electronic filing system. Paper filings are no longer accepted by the Division.

Notice Filing, Mutual Funds and UITs (AS 45.56.200)

  • For NASAA Form U-2 and NF please visit NASAA.org

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

Viatical Forms

Solicitation of Interest Form