September 23, 2021 13:49 Updated Follow * U1 * U2 * U2A * Prospectus * Exhibits * Advertising Materials * Initial filing fee of $500.00 Related articles What is the audited financial reporting requirement for broker dealers? What kind of background check is required, and how often is it required, in order to be licensed as a mortgage loan originator or principal manager? How do I contact the Secretary of State's Securities Division? What does the Securities Division require for a Registration by Qualification renewal? What filing requirements does the Securities Division have for federal covered securities under SEC Rule 506?