This site uses Adobe Acrobat Reader Versions 6.0 or higher. Click here for your

Investment Adviser Filing Instructions & Forms

• Form ADV Part 1 (1A & 1B, and instructions) [pdf]
• Form ADV Part 2 (for filing through IARD)
• Form ADV Part 2 (for filing on paper) [pdf]
• Schedule F additional pages  (for filing on paper) [pdf]
• Form ADV-E [pdf]
• Form ADV-H [pdf]
• Form ADV-NR [pdf]
• Form ADV-W [pdf]
• Form IN-1381 (State Registration Renewal Form) [pdf]
• Form U4 [pdf]
• Form U4 Instructions [pdf]
• Form U5 [pdf]
• Form U5 Instructions [pdf]
• Form U10 [pdf]
• Form IN-1493 (Designation of Accountant) [pdf]

• State Registration and Notice Filing Instructions [pdf]
• State Registration Renewal Instructions [Please contact the Division.]
• Annual Notice Filing Instructions [Please contact the Division.]
• Definitions [pdf] (This compilation is intended solely as an informal guide – please see the Tennessee Securities Act of 1980, as amended, and the Tennessee Securities Rules promulgated thereunder for the original definitions and the context in which they have been formally adopted.)
  

• Agent Filing Instructions and Forms
• Broker-dealer Filing Instructions and Forms
• Oil & Gas Issuer-dealer Filing Instructions and Forms

• TN Professional Privilege Tax
• TN Securities Act of 1980
• TN Securities Rules
• Requesting Public Information from the Division
• SEC Website - Forms List
• SEC Website - Investment Adviser Forms
• SEC Guide to Corporate Filings
• SEC Investment Adviser Public Disclosure
• NASAA Forms
• NASD Forms
• NASD Bookstore
• NASD Uniform Forms Reference Guide [pdf]
• NASD Public Disclosure Program

«« Previous Page