Section 14.412 - Rules, Forms, Orders, and Hearings(A)(1) The forms prescribed for use under M.G.L. c. 110A and 950 CMR 10.00 through 14.413, which are identified and described in 950 CMR 14.412, are hereby incorporated by reference and made a part of 950 CMR 14.000: (a) Uniform Application to Register Securities (Form U-1) (used for registration by coordination and for registration by qualification);(b) Uniform Consent to Service of Process (Form U-2) (used with registration of securities);(c) Uniform Form of Corporate Resolution (Form U-2A) (used with Form U-2);(d) Application for Registration as a Broker-Dealer (SEC Form BD) (used to register as broker-dealer);(e) Uniform Application for Securities and Commodities Industry Representative and/or Agent (Form U-4) (Used to register or transfer agents of Broker-Dealers and representatives of Investment Advisers);(f) Application for Registration or Transfer of Agent of Issuers (Form U-4)) (used to register or transfer issuer-agents);(g) Uniform Termination Notice for Securities Industry Representative and/or Agent (Form U-5) (used to terminate employment of agents and representatives);(h) Termination Notice for Issuer-Agent (Form U-5) (used to terminate employment of issuer-agents);(i) Renewal Form (Form RF) (used to renew broker-dealer, agent, and issuer-agent registration);(j) Notice of Withdrawal from Registration as Broker-Dealer (SEC Form BDW) (used to withdraw or terminate registration as broker-dealer);(k) Small Corporate Offering Registration Form (NASAA Form U-7) (used to register corporate offerings of $1,000,000 or less);(l) Application for Registration as an Investment Advisor (SEC Form ADV) (used to register as an investment adviser)(m) Notice of Withdrawal from Registration as an Investment Advisor (SEC Form ADV-W) (used to withdraw or terminate registration as an investment advisor);(n) Uniform Investment Company Notice Form (Form NF);(o) Uniform Disciplinary Action Reporting Form (Form U-6);(p) Uniform Notice of Federal G(p) Uniform Notice of Federal Crowd funding Offering (Form U-CF);(q) Uniform Notice of Regulation A - Tier 2 Offering. (Note: Copies of the NASAa multi-state forms may be obtained from the Internet site www.nasaa.org. Users should click the buttons for "Blue Sky Practitioners" and then "Uniform Forms".)
(A)(2) The forms prescribed in 950 CMR 10.00 through 14.413, except SEC Forms BD, BDW, and Forms U-4 and U-5 may, be obtained on a request addressed to the Division. However, accurate reproductions may be used. SEC Forms BD and BDW may be obtained from the SEC; and Forms U-4 and U-5 from any national securities exchange or from the FINRA. The Division reserves the right to and may issue from time to time revisions or amendments of the forms.(A)(3) Only an executed copy of any form should be filed.(A)(4) All forms and documents shall be printed, lithographed, mimeographed, typewritten, or prepared by a photocopying process which, in the opinion of the Director, produces copies suitable for a permanent record. All forms and documents shall be clear, easily readable, and suitable for repeated photocopying. Exhibits may be attached to additional sheets or filed separately. A document filed as an exhibit to a prior application may be incorporated by reference into a subsequent application.(A)(5) All applications and other documents received and filed with the Division become a part of its permanent record and will not be returned to the applicant or correspondent.(A)(6) The Director may by order exempt a person, security or transaction from a specific provision of 950 CMR 10.00 through 14.413. 950 CMR 10.00 through 14.413 supersedes any administrative orders, rules, and regulations issued pursuant to M.G.L. c. 110A.(A)(7) Any Rule requiring compliance with a federal statute, rule or interpretive opinion of the SEC or other administrative agency, incorporates said statute, rule, or interpretive opinion, by reference and makes it a part of 950 CMR 10.00 through 14.413.(A)(8) Filing fees are not refundable. Fees shall be remitted by check, draft, or money order (but not by personal checks or by cash) payable to the Commonwealth of Massachusetts.(C) Unless 950 CMR 10.00 through 14.413 provides otherwise, all financial statements M.G.L. c. 110A and/or 950 CMR 10.00 through 14.413 requires shall be certified and prepared in accordance with generally accepted accounting principles applied on a consistent basis. The Director may, upon the request of the applicant, permit the omission of one or more of the financial statements herein required or the filing in substitution therefor of appropriate financial statements of comparable character. The Director may also require the filing of other financial statements in addition to, or in substitution for, the financial statements herein required in any case where such statements are necessary or appropriate for an adequate presentation of the financial condition of any entity or person whose financial statements are required, or whose financial statements are otherwise necessary for the protection of investors.Amended by Mass Register Issue 1284, eff. 4/10/2015.Amended by Mass Register Issue 1387, eff. 3/22/2019.Amended by Mass Register Issue 1524, eff. 3/22/2019.