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? How do I contact the Secretary of State's Securities Division? 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 can I file an assumed business name/DBA/Doing business as How can I make a change to my business information (name, officers, principles, address, etc.)?