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Delaware Department of Justice
Attorney General
Kathy Jennings

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 U-2 – Uniform Consent to Service of Process

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


Registration Guidance for Investment Advisers

Registration Requirements for Investment Advisers




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