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Delaware Department of Justice
Attorney General
Matt Denn

Fraud & Consumer Protection Division



Industry Professionals


Securities Laws

Delaware Securities Act

Rules and Regulations Pursuant to the Delaware Securities Act


Surveys

Delaware Investment Advisor Cyber-Security Survey


Forms

Form LOE – Notice of Limited Offering Exemption

Investment Adviser Examination Affidavit (.pdf)

Investment Adviser Representative Examination Affidavit (.pdf) – (2 pages)

Small Business Application for Mid-Atlantic Regional Review Form (.pdf) (MARRF) – (3 pages)

Uniform Consent to Service of Process Form (.pdf)

Uniform Investment Company Notice Filing Form (.pdf) -(3 pages)

Waiver of Statutory Registration (.pdf)


Orders & Opinions

Order Adopting Part 2 of Form ADV

Order Adopting Use of EFD for Filings

Order Postponing the Effectiveness of Rules 611 and 712 to February 1, 2015




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