Missouri Secretary of State, Robin Carnahan

Securities Registrations

The registration section reviews applications to register securities under a "merit review." This review determines if the offering is "fair, just and equitable." The staff also reviews claims of exemption from registration.

For more information, see the answers to frequently asked questions regarding securities registration.

Registration & Exemption Forms

Missouri forms

• AI - Notice of Sale of Securities Pursuant to the Missouri Accredited Investor Exemption 

• SR-1 - Form of Prospectus for Registration of Securities by Qualification

• SR-2 - Annual Report for Renewal of Registration of Securities

• SR-4 - Impoundment of Funds Agreement

• SE-1 - Statement of Claim for the Exemption of Securities of a New Generation Processing Entity

• SE-2 - Statement of Claim for the Exemption of Securities of a Missouri Agricultural Cooperative

Uniform forms from NASAA's web site

• Form U-1 - Uniform Application to Register Securities

• Form U-2 - Uniform Consent to Service of Process

• Form U-2A - Uniform Form of Corporate Resolution

• Form U-7 - Small Company Offering Registration (SCOR)

• Form NF - Uniform Investment Company Notice Filing

Federal forms from the SEC's web site

• Form 1-A -Regulation A Offering Statement under the Securities Act of 1933

• Form S-1 - Form S-1 Registration Statement under the Securities Act of 1933

• Form D - Notice of Exempt Offering of Securities

NASAA Statements of Policy

• Statements of Policy adopted by the North American Securities Administrators Association, Inc. (NASAA) can be obtained from NASAA's web site. Please see Missouri regulations 15 CSR Division 30, Chapter 52 and 15 CSR Division 30, Chapter 54 to view the NASAA Statements of Policy adopted by the Missouri Securities Division.

Small Company Offering Registrations (SCOR)

Missouri regulations

• Small Company Offering Registrations - 15 CSR 30-52.275

• Financial Statements - 15 CSR 30.52.025

Documents from NASAA's web site

• Overview

• Statement of Policy Small Company Offering Registrations (SCOR)

• SCOR forms

Registration Pamphlets

• Complying with Missouri Securities Laws: A Guide for Small Businesses

Coordinated Review Programs

• The Missouri Securities Division participates in the following coordinated review programs: CR-SCOR/Midwest Regional Review Program; Coordinated Review of Equity; and Coordinated Review of Direct Participation Programs. For further information, please see http://www.coordinatedreview.org/