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