Form U-1 - Uniform Application To Register Securities - Washington State Department Of Financial Institutions

Download a blank fillable Form U-1 - Uniform Application To Register Securities - Washington State Department Of Financial Institutions in PDF format just by clicking the "DOWNLOAD PDF" button.

Open the file in any PDF-viewing software. Adobe Reader or any alternative for Windows or MacOS are required to access and complete fillable content.

Complete Form U-1 - Uniform Application To Register Securities - Washington State Department Of Financial Institutions with your personal data - all interactive fields are highlighted in places where you should type, access drop-down lists or select multiple-choice options.

Some fillable PDF-files have the option of saving the completed form that contains your own data for later use or sending it out straight away.

ADVERTISEMENT

Form U-1
Uniform Application to Register Securities
Application to_____________________________________of the State of__________________________
pursuant to Section_____________________________of the____________________________________
1. Name and address of Issuer and principal office in this state:
_______________________________________________________________________________
2. Name, address and telephone number of correspondent to whom notices and communications regarding this
application may be sent:
_______________________________________________________________________________
3. Name and address of applicant:
_______________________________________________________________________________
4. Registration or acceptance for filing is sought for the following described securities in the amounts indicated:
_______________________________________________________________________________
Total Offering
Offering in this State
Offering Price
No. of Shares
No. of Shares
Description of
or Proposed
Amount
Amount
or Units
or Units
Securities
Offering Price
$
$
Totals
$
$
Indicate the maximum commission to be charged:___________________%
5. Amount of filing and examination fees which are enclosed: $__________, $__________
6. A Registration Statement was filed with the Securities and Exchange Commission
on______________________(date) and (became) (will become) effective on____________________(date)
7. (a) List the states in which it is proposed to offer the securities for sale to the public.
(b) List the states, if any, in which the securities are eligible for sale to the public.
(c) List the states, if any, which have refused, by order or otherwise, to authorize the sale of the securities to the
public, or have revoked or suspended the right to sell the securities or in which an application has been with-
drawn.
8. Submitted herewith as a part of this application are the following documents (documents on file may be incorporated
by reference):
(a) One copy of the Registration Statement and two copies of Prospectus in the latest form on file under the
Securities Act of 1933.

ADVERTISEMENT

00 votes

Related Articles

Top 20 Happy Easter Cards And Gift Tags To Download For Free
Top Ten Easter Arts And Crafts Activities For Your Kids
Free Easter Coloring Pages And Easter Printables For Your Kids

Related forms

Form U-1 - Uniform Application To Register Securities Form U-1 - Uniform Application To Register Securities Legal
Form U-1 - Uniform Application To Register Securities Form U-1 - Uniform Application To Register Securities Legal
Complaint Report Form - Washington State Department Of Financial Institutions Complaint Report Form - Washington State Department Of Financial Institutions Legal
Complaint Report - Washington State Department Of Financial Institutions Complaint Report - Washington State Department Of Financial Institutions Legal
Form Lt-1 - Uniform Application To Offer Or Sell Living Trusts Form Lt-1 - Uniform Application To Offer Or Sell Living Trusts Legal
Form Sm-5 - Surface Mining Savings Certificate Assignment - Washington State Department Of Natural Resources Form Sm-5 - Surface Mining Savings Certificate Assignment - Washington State Department Of Natural Resources Legal
Dot Form 234-030 - Prestressed Concrete Damage Drawing Template - Washington State Department Of Transportation Dot Form 234-030 - Prestressed Concrete Damage Drawing Template - Washington State Department Of Transportation Legal
Form U-1 Or Ct-3 - Application To Register Securities Form U-1 Or Ct-3 - Application To Register Securities Legal
Form Sc-610-234 - Business Opportunity Application - Securities Division Department Of Financial Institutions Form Sc-610-234 - Business Opportunity Application - Securities Division Department Of Financial Institutions Legal
Form Dfi/corp/13 - Registered Agent And/or Registered Office Change Form - Department Of Financial Institutions - 2015 Form Dfi/corp/13 - Registered Agent And/or Registered Office Change Form - Department Of Financial Institutions - 2015 Legal

Related Categories

Parent category: Business
Download
Go
Page of 3