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 Nevada Administrative Code (Last Updated: January 6, 2015)
 Chapter90 Securities
  ADMINISTRATION

NAC90.315. Availability of forms.  

Latest version.

  •      1. Except as otherwise provided in this section, any form referred to in this chapter that pertains to the registration of securities or the licensing of investment advisers may be obtained from the Securities and Exchange Commission, Publications Unit, Mail Stop C-11, 450 Fifth Street, N.W., Washington, D.C. 20549, or from the Securities and Exchange Commission at the Internet address http://www.sec.gov/divisions/corpfin/forms/securities.shtml or the Internet address http://www.sec.gov/divisions/investment/iard/iastuff.shtml, respectively. The Small Company Offering Registration Form (Form U-7) and the Uniform Investment Company Notice Filing (Form NF) may be obtained from the North American Securities Administrators Association, 750 First Street, N.E., Suite 1140, Washington, D.C. 20002. The Small Company Offering Registration Form (Form U-7) and the Uniform Investment Company Notice Filing (Form NF) may also be obtained from the North American Securities Administrators Association at the Internet address http://www.nasaa.org/Industry___Regulatory_Resources/Uniform_Forms/. An informational packet concerning the Small Company Offering Registration which contains a Small Company Offering Registration Form (Form U-7) may be obtained from the Office of the Administrator by submitting a check payable to the “Secretary of State” in the amount of $3.

         2. Any form pertaining to the licensing of broker-dealers and sales representatives may be obtained from the Financial Industry Regulatory Authority MediaSource, P.O. Box 9403, Gaithersburg, Maryland 20898-9403, or from the Financial Industry Regulatory Authority at the Internet address http://www.finra.org/Resources/FINRAForms/index.htm.

         3. The forms prescribed and authorized by the Administrator for use in Nevada are:

         (a) The Application for Licensing of a Branch Office (Nevada Form 360-2).

         (b) The Amendment to Registration of a Branch Office (Nevada Form 360-2A).

         (c) The Request for Withdrawal of a Branch Office (Nevada Form 360-2W).

         (d) The Year End Securities Sales Report (Nevada Form 500-3).

         (e) The Notice of Withdrawal of Registration (Nevada Form 500-12).

         (f) The Claim of Exemption From Securities Registration (Nevada Form N-9).

    Ê Any of these forms may be obtained from the Office of the Administrator or from the Secretary of State at the Internet address http://sos.state.nv.us/licensing/securities/forms.asp.

     (Added to NAC by Sec’y of State, eff. 4-22-88; A 10-16-89; 11-19-92; R016-02, 8-6-2002; R033-08, 6-17-2008)