Forms

General

Complaint Form

Franchise

2008 Franchise Registration and Disclosure Guidelines - PDF
2008 Guideline ​Summary of Changes - PDF
Franchise_Form_F1 - PDF​
Franchisor Surety Bond - PDF
Franchise Quarterly Sales Report - PDF
Escrow Agreement and instructions - PDF​​​​​

Securities Registration​

​ Application for Renewal of Issuer Agent Registration - PDF
MLOE-1: Notice of Limited Offering of Securities - PDF
MLOE-2: Limited Offering Exemption - PDF
Form U-2 (Uniform Consent to Service of Process)
Form SRQ-1: Quarterly Status Report of Registration and Use of Proceeds - PDF
Form U-4: Initial Application for Issuer Agent
Form D: Notice of Sale of Securities Pursuant to Regulation - PDF
Revisiing Filing Requirement for Form D  - PDF
Model Accredited Investor Exemption Form
FORM MISBE-1: Notice of Maryland Intrastate Business Exemption - PDF
FORM MISBE-2: Disclosure document for Intrastate Business Exemption - PDF​​

Small Company Offering Registration (SCOR) Information

SCOR - Introduction/Requirements/Instruments - PDF
NASAA Statement of Policy Regarding SCOR - PDF
Form U-7
SCOR - Issuer's Manual - PDF
SCOR Order - PDF
CR-SCOR - Mid-Atlantic Region Review Program Overview - PDF
Appendix A - Fees - PDF
Append ix B - Selling Persons - PDF
Appendix C - Testing the Waters - PDF
Pennsylvania Securities Commission Order - PDF​

Small Business Securities Offering Application

Form CR-SCOR - Mid-Atlantic Region  - PDF

Crowdfunding

FORM MDCF-1 - Securities Offerings Under the Maryland Crowdfunding Exemption (MDCF) Filing - PDF