California Corporations Code

Sec. § 25612.3


Unless otherwise provided by rule, the commissioner shall require the use of the following forms:

(a)

Form BD (Uniform Application for Broker-Dealer Registration) for a broker-dealer application.

(b)

Form ADV (Uniform Application for Investment Adviser Registration) for an investment adviser application.

(c)

Form BDW (Uniform Request for Broker-Dealer Withdrawal) for withdrawing from licensure as a broker-dealer.

(d)

Form ADV-W (Notice of Withdrawal from Registration as Investment Adviser) for withdrawing from licensure as an investment adviser.

(e)

Form U-4 (Uniform Application for Securities Industry Registration or Transfer) for the reporting of an agent of a broker-dealer or an investment adviser representative or associated person of an investment adviser.

(f)

Form U-5 (Uniform Termination Notice for Securities Industry Registration) for the reporting of the termination of an agent of a broker-dealer or an investment adviser representative or associated person of an investment adviser.
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Last accessed
Jun. 6, 2016