Industry Professionals
Securities Laws
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
Related Topics: Attorney General, DE AG, DE Attorney General, Delaware, Delaware Attorney General, Fraud, Industry Professionals
