Securities Registration Forms

​​​The forms listed below may be downloaded for your use when filing a registration application:

The SCOR (Small Company Offering Registration) Form (or Form U7)​ is available for downloading from the North American Securities Administrators Association (NASAA) website. It is a question-and-answer form of prospectus that meets disclosure requirements under the Wisconsin Uniform Securities Law, regardless of the registration or exemption section under which the offering is filed. The traditional narrative form of prospectus may also be used.

The Wisconsin Division of Securities, as a member of the North American Securities Administrators Association (NASAA), uses NASAA’s Electronic Filing Depository​ (EFD)​ system for Regulation D and Form NF-UIT notice filings. EFD was expanded with a new functionality, referred to as “Universal Filing Type” or UFT, which has given filers the ability to electronically submit filings and fees for a greater range of corporate finance materials to the division. The filing types that are now being accepted through UFT include: registrations by coordination or qualification, Regulation A (Tier 1 and 2), state law exemptions, and any further filings associated with these filing types, including those that do not require a fee (e.g., prospectus supplements). The EFD website also enables the public to search and view, free of charge, filings made through EFD with state securities regulators. ​ ​

Contact Us

Phone: (608) 266-2139